Branch examinations remain one of the most complex and resource‑intensive areas of broker‑dealer supervision—made even more challenging by evolving regulations and distributed work models.
To understand how firms are adapting, RegEd surveyed Compliance and Branch Examination leaders at mid‑sized and large financial institutions, including Chief Compliance Officers, Heads of Branch Exams, and Audit leaders.
This research explores how firms are executing branch exams today and where they’re seeing the greatest strain—and opportunity. Inside the report, you’ll learn:
- The current state of branch examination programs
- The operational and staffing challenges firms are facing
- How technology and emerging tools are being used to modernize branch oversight
The findings reveal an industry making progress with remote supervision and risk‑based planning—while still grappling with inefficiencies and inconsistent technology enablement.
Download the full whitepaper to see how your peers are navigating the future of branch oversight.
About RegEd
RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.
Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.
Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients.