NASD 3010
Summary
Written Supervisory Procedures must be developed for the review of any written and
electronic correspondence with the public relating to investment banking or securities
business. If an electronic or manual pre review is not done, then appropriate supervisory
procedures must be developed, as well as monitoring, testing, and educating employees
on the procedures. Employee education must be documented.
All correspondence relating to investment banking or securities business should
be retained along with the names of the persons who prepared and reviewed the correspondence,
and the retained records should be readily available to NASD. An annual review of
a broker dealer’s business activities, supervisory system, customer accounts and
office inspections is required.
To comply with NASD 3010 requires the following:
- Develop Written Supervisory Procedures
- Preserve Records in Accordance with SEC Rule 17a-4 and NASD Rules
MobileMandate Key Benefits
MobileMandate is designed to support the the flow of text messaging, pin to pin,
and BlackBerry® Messenger througout your organization. Our intuitive user interface and advanced reporting capabilities provides yor team
with the ability to get the job done quickly, effectiviely, and efficiently.
Effective Management
- Ensure every SMS message passing through your organization is archived
and readily available
Collaboration
- Create roles and responsibilities for managing mobile messaging
Proactive Platform
- Build reports to find policy breaching events like wall crossing
and receive alerts when those breaches happen
Evidence Supervision
- Provide complete workflow audit trails of who has acted upon any
message
Automation
- Automate email and reports engaging users to assist with supervision
Security
- Secure hosted content with full disaster recovery