This white paper investigates what factors broker-dealers currently include in their risk assessments; in particular, the factors outlined within the FINRA Remote Inspection Pilot Program proposal. To gather insights, we conducted a survey of firms as to whether they are considering participating in the pilot if the proposal is approved. We also gathered information on how they incorporate these and other factors into their overall risk assessment strategies.
This white paper will outline those results and explore the benefits and challenges of the proposed program, as well as offer recommendations for firms looking to implement or improve their remote branch inspections process.
Download this report to learn more.