Field Notice 2023-14
May 19, 2023
ESI Written Supervisory Procedures Update
ESI continually reviews its Written Supervisory Procedures (“WSP”) in accordance with regulatory and business requirements. Effective May 19, 2023, ESI’s WSP manual has been updated to incorporate various changes. Among others, the substantive changes are summarized below.
Summary of Changes
Location of Manual
Please review the updated ESI’s Written Supervisory Procedures for details of the changes outlined in this notice. The manual may also be found on the NLG Website, under “Compliance” / “ESI Compliance” / “Overview” / “ESI Written Supervisory Procedures”.
Questions
If you have any questions regarding this notice, please feel free to contact ESI Compliance at 800-344-7437.
Field Notice 2023-15
May 19, 2023
EFA Written Supervisory Procedures Update
ESI Financial Advisors (“EFA”) continually reviews its Written Supervisory Procedures (“WSP”) in accordance with the regulatory and business requirements. Effective May 19, 2023, EFA’s WSP manual has been updated to incorporate various changes. Among others, the substantive changes are summarized below.
Summary of Changes
Location of Manual
Please review the updated EFA’s Written Supervisory Procedures for details of the changes outlined in this notice. The manual may also be found on the NLG Website, under “Compliance” / “ESI Compliance” / “Overview” / “EFA Written Supervisory Procedures”.
Questions
If you have any questions regarding this notice, please feel free to contact ESI Compliance at 800-344-7437.
TC133785(0523)1