Firm: WSP Attestations

Firm: WSP Attestations

NOTE: 

  1. The system captures the last date each rep attests to the WSP by either:
    1. Filling out a Compliance Questionnaire
      1. A specific WSP Attestation PDF is not uploaded if attesting via a Compliance Questionnaire, however the WSP review/access/responsibility is clearly stated in the CQ form that is uploaded into drive, and accepted as a means of attesting
    2. Filling out the WSP Attestation form:
      1. Reps can access directly in the Compass Portal > Rep Dashboard
      2. Emailed a link (Step #3 below)
      3. BOTH (directly or emailed link) will upload a PDF of the attestation to the Drive
  2. This should be used if rolling out an updated WSP that needs attesting, OR the annual requirement
    1. (Firms usually take care of the annual WSP attestation requirement at the same time as all other attestations, during the Annual Rep Review)

Overdue WSP Attestations (>12 months)


  1. Shortcut:  Command Center Dashboard > WSP Needs Attestation (Overdue, >12 months)   -OR-   
  2. Direct:  Employees > WSP Attestations (List of all current reps & date of last attestation)
  3. [Send Attestation Link] button will email (from your logged in user email) the rep:
    1. a link with the Attestation form +
    2. email includes a PDF copy of the uploaded WSP
      1. (see instructions on uploaded the Firm's most current 'Firm Specific Documents')





(IF firm has Investment Banking selected in My Firm Info, the attestation will include the Information Barrier Section (bottom)
SAMPLE: Attestation uploaded to Drive






    • Related Articles

    • Rep: Annual Attestations

      Rep Dashboard Firm’s most current version of WSP (Written Supervisory Procedures) & RIA Manual FinPRO – Access to your information in Finra – to review U4 information (or to take CE) You must have or create a login directly with Finra, instructions ...

    • Firm: Annual Rep Review

      1. Add Names|Reps to the Annual Review Employees (report) > Select Names (you want to add to the annual review) **Remember to FILTER, do not select terminated Reps Select [Annual Rep Review + Consultant Assistance] if you wish for assistance with the ...

    • Rep Dashboard

      Rep Dashboard Location of Firm’s most current versions of WSP (Written Supervisory Procedures) & RIA Manual [WSP Attestation] Button will attest to your having access, and responsibility to adhere, to the WSPs/RIA Manual w date of last attestation ...

    • Firm: Review Submissions|Attestations|Forms

      Access the forms needing review You can see ALL forms that were submitted and require your review on your COMMAND CENTER Dashboard (see image below) You can also access the forms directly by going to the corresponding report on the left side of your ...

    • Firm: Add or Edit any Firm Information, Documents and Links

      1. Add|Update Important Firm Emails & Address 1. Fingerprint Code       If you use Electronic fingerprint w FieldPrint, the fingerprint code for your firm goes here 2. Firm Businesses       Depending on the specific firm type, client type, or ...