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Compliance Department 11 Raymond Avenue Poughkeepsie, NY 12603 (T) 8454853338 4398 (F) 8456251524 Prime Capital Services, Inc. Compliance Memo To: ALL Registered Representatives and Investment Advisor
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What is compliance memo non brokerage?
Compliance memo non brokerage refers to a document that outlines the compliance policies and procedures followed by a non-brokerage firm.
Who is required to file compliance memo non brokerage?
Non-brokerage firms are required to file compliance memo non brokerage to demonstrate their adherence to regulatory requirements.
How to fill out compliance memo non brokerage?
To fill out a compliance memo non brokerage, the firm needs to detail its compliance policies, procedures, and any monitoring mechanisms in place.
What is the purpose of compliance memo non brokerage?
The purpose of compliance memo non brokerage is to document and communicate the firm's compliance practices and ensure adherence to legal and regulatory requirements.
What information must be reported on compliance memo non brokerage?
The compliance memo non brokerage should include information about the firm's compliance policies, procedures, monitoring activities, and any changes made during the reporting period.
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