Peer-2-Peer Compliance Library

COMPLIANCE TOOLS

Peer-2-Peer Compliance Library

The FINRA Peer-2-Peer Compliance Library provides a one-stop source to locate templates, checklists and other materials provided by FINRA registered firms as supplemental resources at FINRA events. This library includes documents supporting the following compliance-related topics: Customer Information, Cybersecurity, New Product Review, Outside Business Activities, Outsourcing & Vendor Management, and Supervision. If you have feedback on the Peer-2-Peer Compliance Library, send an email to Member Relations and Education.

Disclaimer

FINRA's Peer-2-Peer Compliance Library (P2PCL) includes templates, checklists and other documents (collectively, Templates) that are non-exclusively provided as resources to firms for their internal use. Firms are not obligated to use the P2PCL Templates. The P2PCL Templates have been provided to FINRA by FINRA conference and meetings panelists. FINRA does not ensure these resources comply with FINRA rules or other regulations or laws, nor does it endorse the panelists nor their companies. Reliance on these resources should only be undertaken after an independent review of accuracy, compliance, completeness and efficacy.