COMPLIANCE MANUAL – WRITTEN SUPERVISORY PROCEDURES (WSP)

HBW Advisory Services Compliance & Procedures Manual
HBW Advisory Services Code of Ethics
HBW Advisory Services Office Inspection Guide
HBW Advisory Services LLC overview
2023 HBWAS Compliance Meeting Password is hbw
Minimum Production Requirement
STAYING IN COMPLIANCE

Small Balance Accounts Policy

TEXT MESSAGING

You may use text messaging to communicate with your clients but you must first sign up with MyRepChat so your business related text messages get archived.  You may not text with your client unless you first sign up for MyRepChat. https://myrepchat.com/

Form CRS Guide

COMPLIANCE FORMS:

HBWAS Personal Securities Accounts
If you, as a rep, hold brokerage accounts outside of HBW Advisory Services, per the WSP you must complete this form.  Updates must be filed with the firm quarterly along with sending the quarterly statement from the account.

HBWAS Quarterly Report of Personal Securities Transactions
If you, as a rep, hold brokerage accounts outside of HBW Advisory Services, per the WSP you must complete this form on a quarterly basis and submit with the quarterly statement from the account.

HBWAS Outside Business Activity
Series 65 Reps must keep their U-4 form up to date with FINRA. Use this form to inform HBW Advisory Services of your Outside Business Activities.

HBW Rep Address and Contract Change Form
This form needs to be completed to change your mailing address or contract level with HBW Advisory Services LLC.

HBWAS Request for State Registration Exemption
Complete and submit this form to request approval for an exemption of registration for the state(s) where you would like to transact business and do not currently have a residence or office presence.

ADVERTISING

Advertising Review Form
Seminar / Event Approval Request Form