Series 22: Supervisory System

Taken from our Series 22 Top-off Online Guide

Supervisory System

A supervisory system is a defined structure that specifies how, where, and by whom a member firm’s oversight responsibilities for the activities of its employees are carried out. Its main purposes are to describe how the firm is to be managed, establish a managerial chain of command, and keep current written supervisory procedures that instruct managers how to carry out their responsibilities. The overall purpose of the supervisory system is to establish responsibility within the member firm t

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