Webinar: The Evolution of Branch Audit Management: Leveraging Technology to Keep Pace in a Dynamic Regulatory Landscape (2017)

Description: An overview of relevant regulatory and industry trends, as well as how the evolution of technology has impacted the ability of firms to maintain an efficient and effective Branch Audit program.

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Webinar: The Evolution of Branch Audit Management: Leveraging Technology to Keep Pace in a Dynamic Regulatory Landscape

FINRA Rule 3110 requires member firms to conduct an annual review of the businesses in which it engages. Broker-dealers must regularly evaluate their supervisory practices and the adequacy of their audit plan to ensure that branch supervision and all activities are being conducted within the bounds of applicable securities laws and regulations.

This session will provide an overview of relevant regulatory and industry trends, as well as how the evolution of technology has impacted the ability of firms to maintain an efficient and effective Branch Audit program.

 
Topics that will be covered
 
  • Best practices to ensure compliance and efficiency in branch audits.
  • How leveraging technology innovations can enable firms to keep pace in a dynamic regulatory environment.
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