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WEBINAR
Branch Inspections: Enforcement Trends, Regulatory Developments and the Latest Best Practices
Originally aired December 2, 2021
Presenters
Brian Rubin
Partner
Eversheds Sutherland
Sarah Razaq Sallis
Associate
Eversheds Sutherland
Sander J. Ressler
Managing Director
Essential Edge Compliance Outsourcing Services, LLC
Adam Schaub
VP, Platform Product Management
RegEd, Inc.
Overview
While branch oversight has changed significantly during the COVID-19 pandemic, regulators, including FINRA and the SEC, continue to expect firms to administer effective programs for overseeing branches and supervised individuals.
This webinar provides an overview of the latest regulatory developments in this area, including FINRA’s extension of the remote option and how it is expected to evolve going forward. Panelists also review practical challenges and opportunities facing audit teams, as well as the latest best practices that have emerged as firms continue to navigate the pandemic and remote work.
Topics covered:
- FINRA/SEC branch audit compliance and enforcement trends.
- Implications of current remote work circumstance and the future of the remote option.
- Overview of the intersection of branch audit oversight and Reg BI compliance.
- How audit teams have responded to effectively manage their audit programs during the pandemic.
- Technology best practices to improve efficiency through automation and ensure robust compliance.
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.