Navigating FINRA's New Branch Office Inspection Rules
Date
Time
Type
Webcast
FINRA made major changes to the annual branch office inspection requirements this year with the implementation of a Remote Branch Office Inspection Pilot Program and new designation for Residential Supervisory Locations. How do these changes impact your firm?
Join us on Monday, December 16, 2024, at 11am ET when we will share practical insights into preparing for residential office classifications and planning remote and onsite inspections in 2025.
Why attend?
- Hear the requirements of the Residential Supervisory Location designation and Remote Branch Office Inspection Pilot Program
- Learn best practices and real-world strategies for conducting inspections with these new requirements
- Gain insights for adjusting to the evolving compliance landscape
Speakers
- Michael Sweeney, Compliance Officer, Allstate Financial Services, LLC
- Joseph Conte, Director, Compliance, Natixis CIB Americas
- Francois Cooke, Managing Director, ACA Group
- Patrycja Savignano, Director, ACA Group