Written Supervisory Procedures - 5/2023

AML Procedures - 10/2022

Employee Handbook - 7/2020

Business Continuity Plan - 5/2023

Firm Element Continuing Ed Plan - 6/2022

PRACTICE:

• Regulation Best Interest - Reg BI stipulates that you must have a reasonable basis in making the recommendation.  

PROCEDURE:

• Communications with the Public - Please keep your nelson-securities.com emails limited to business contacts. All emails are subject to review and archiving as per FINRA regulations
• Know Your Customer - Financial info – the regulators are really using it to determine Reg BI compliance. Update prior to sending out CIP. If the client has $500k in total assets with us, take that into consideration regarding their net worth.

PAPERWORK: 

• All of the kits have MAJOR updates as of AUG 2023. Make sure that you are not saving these kits elsewhere, but rather taking them directly from the intranet.