I need help creating a checklist for advisers on excel. for example C or NC based on the questions needs to be on section 9
PURSHE KAPLAN STERLING INVESTMENTS
SUPERVISORY PROCEDURES
MANUAL
Amended March 2022
ACKNOWLEDGMENT OF REGISTERED REPRESENTATIVES
By his/her signature below, the undersigned recipient of this Manual acknowledges that he/she
has received the Manual, is responsible for knowing its contents and has read and understood its
contents to the level of being able to answer questions about it from supervisors and regulatory
auditors and to put its principles into practice. The undersigned understands that the Manual is
continually updated and agrees to take responsibility for obtaining, reviewing and understanding
any updates or supplements published by PKS.
By his/her signature below, the undersigned expressly certifies that he/she is familiar with and
understands each of the following subtopics listed below regarding Registered Representative
Conduct, contained in Section 6 of the Manual.
• Duties and Responsibilities of Registered Representative
• Prohibited Conduct
• Firm Policy on Insider Trading
• New Issue Rules
• Private Securities Transactions (“Selling Away”) [FINRA Rule 3280]
• Transactions by Associated Persons of Other Broker-Dealers [FINRA RULE 3210]
• Transactions by PKS Associated Persons at Other Broker-Dealers [FINRA RULE 3210]
• Outside Business Activities
By his/her signature below, the undersigned expressly certifies that he/she is familiar with and
understands the privacy , Protection of Customer Information and Identity Theft [Section 19.13]
provisions of the Manual.
By his/her signature below, the undersigned expressly certifies that he/she is familiar with and
understands the Anti-Money Laundering [AML] Provisions of the Manual.
__________________________________ _________________
Signature [Date]
__________________________________
[Print or Type Name]
(Amended 2/2015)
TABLE OF CONTENTS
INTRODUCTION
SECTION1: USE AND DISTRIBUTION OF THIS SUPERVISORY PROCEDURES
MANUAL [“SPM”]
SECTION 2: SUPERVISORY AND COMPLIANCE PERSONNEL
2.1 Executive Representative
2.2 Government Securities Act Amendments of 1993
2.3 Audit Committee
2.4 Annual Report Under FINRA Rule 3130
2.5 Annual Certification by Chief Executive Officer
2.6 SPM Committee
2.7 Growth Impact Assessment Committee
2.8 Cyber Security Committee
2.8.1 Cyber Incident Identification & Reporting Sub-Committee
2.9 Best Execution Committee
SECTION 3: LICENSING
3.0 General
3.1 Institution al Sales Department
3.2 Licensing Department
3.3 Documentation Required
3.4 Assessment of Applic
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