The efficient and effective management of compliance programs is vital not only for the protection of investors but also for the sustainability and growth of financial institutions. As the regulatory environment continues to evolve, broker-dealers face ever-increasing challenges in meeting their obligations while striving to maintain operational efficiency.
To gain insight into the current state of branch examination programs among mid-sized and large U.S. broker-dealers, RegEd partnered with Essential Edge, a trusted compliance consulting and outsourcing firm, to undertake a comprehensive survey. Respondents for this study were Compliance and Audit leaders within the broker-dealer firms, representing a diverse cross-section of the industry.
The focus of this study revolves around three overlying questions:
1. What is the current state of branch examination programs among mid-sized to large U.S. broker-dealers?
2. What are the challenges and strategies employed by broker-dealers for their branch examination programs?
3. How are broker-dealers leveraging technology to improve their branch examination programs?
Download this report to learn more.