FINRA Introduces New Remote Inspections Pilot Program

Three-Year Pilot Program Seeks to Modernize Inspection Process for OSJs, Branch Offices, and Non-Branch Locations The Financial Industry Regulatory Authority (FINRA) has withdrawn its original remote inspection pilot program from 2022 and proposed a new pilot initiative. This revised program aims to bring the inspection process for Office of Supervisory Jurisdiction (OSJ), branch offices, and non-branch locations into the modern era. The proposed pilot program is currently open for public comment. Risk Assessments and Preaudit Questionnaires The pilot program, which is set to last for three years if approved by the Securities and Exchange Commission (SEC), would require participating firms […]

Continue readingMore Tag

RegEd Hosts Tenth Annual Client Conference

The conference agenda featured sessions united around best practices to tackle pressing challenges in today’s demanding business and regulatory environment. RegEd, the leading provider of compliance technology solutions to the financial services industry, hosted its tenth annual RegEd Compliance Alliance (RCA) Client Conference in Fort Lauderdale, FL on April 3rd – 5th, 2023. Compliance, licensing and registration, and operations professionals from the nation’s leading financial services firms gathered at the conference to share best practices, build critical knowledge across a range of topics, and interact with regulators and industry experts. The conference included substantive sessions, panel discussions and expert presentations […]

Continue readingMore Tag
Scroll to top