Written Supervisory Procedures Management

Effectively supervise WSP and SCP adherence and avoid regulatory violations.

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Supervisory System Challenges

Managing and tracking Written Supervisory Procedures (WSP) and Supervisory Control Procedures (SCP) can be difficult for many firms. The WSP checklist includes several policies and SCPs that require constant review and modification as regulators add new rules and firms change their policies and procedures. Additionally, many firms may use a WSP consulting agency to help create WSPs, but they may find monitoring and demonstrating compliance challenging.

Regulatory agencies mandate that firms implement a comprehensive supervision system that ensures transparency and oversight to ensure due diligence in daily operations and reviews. However, regulatory agency disciplinary violation reports suggest inadequate supervisory systems are often in place.

EQube WSP Management

Solution

EQube WSP Management

EQube's WSP solution is an essential tool for effective supervision. It has customizable features and real-time monitoring, tracking, and review capabilities in a user-friendly workflow environment. These tools expand the supervisory coverage by providing evidence of compliance with policies and procedures.

Supervisors, Risk, and Compliance Officers use this solution to effectively manage and monitor employee activities. It ensures that policies and procedures are followed, reducing the risks of non-compliance and regulatory fines.