Branch office oversight has been significantly impacted by the COVID-19 pandemic, requiring firms to be more adaptable than ever in how they manage this critical process. As regulators continue to expect firms to administer effective programs for monitoring branches and supervised individuals, firms have had to significantly evolve their approach to keep up with changing times. This presentation will discuss best practices in conducting branch office reviews in an environment that is constantly changing due to the pandemic and compliance technology.
This webinar featured Sander J. Ressler, Managing Director of Essential Edge Compliance Outsourcing Services, LLC, who provided an overview of current trends in the industry, ongoing impacts related to the pandemic, and a forward-looking view as to how firms are likely to continue to advance their programs. Essential Edge currently conducts more than 650 branch reviews annually for over a dozen broker-dealers. Sander draws on more than 30 years of frontline experience with broker-dealers and registered investment advisers, and will share practical insight on what his clients are experiencing, observations from the field, and best practices to streamline the management of branch exams.
Topics we covered:
Sander J. Ressler
Essential Edge Compliance Outsourcing Services, LLC
Senior Product Manager
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