VP, Platform Product Management
Director, Regulatory Compliance BD/IA
Sander J. Ressler
Essential Edge Compliance Outsourcing Services, LLC
Senior Vice President, WFA Compliance Department
Wells Fargo Advisors
Join us for an in-depth analysis of the most recent developments in branch inspection regulations and best practices. This session is designed to provide a comprehensive understanding of the impact and implications of the recently approved FINRA Remote Inspections Pilot Program and Residential Supervisory Location Proposals by the Securities and Exchange Commission (SEC).
We cover key aspects of the Remote Inspections Pilot Program, highlighting what this means for compliance and operational efficiency. Additionally, the discussion includes an analysis of the Residential Supervisory Location Proposals and their potential effects on the industry’s supervisory practices.
Our panel also shares insights on the latest best practices for branch inspections in light of these regulatory shifts. They provide practical strategies for adapting to these changes, ensuring compliance, and maintaining high standards of oversight in a rapidly evolving regulatory environment.
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.