Overview

Watch via SIFMA On Demand

On October 5th, SIFMA and Bates Compliance hosted a virtual discussion with compliance and risk leaders, including FINRA, on the latest updates concerning virtual branch office compliance visits. They discussed the status of virtual branch office inspection programs; rulemaking updates and FINRA Rule 3110 requirements for branch inspection programs; current remote branch office inspection challenges; and best practices when implementing a remote branch inspection program.

SIFMA Webinar Series

Virtual Branch Office Compliance Visits

Date

October 05, 2020

Location

Virtual

Hosted by

SIFMA & Bates Group LLC

Registration Rates – Until 10/5/21

  • Member Complimentary
  • Regulator Complimentary
  • Non-Member Complimentary

Overview

Watch via SIFMA On Demand

On October 5th, SIFMA and Bates Compliance hosted a virtual discussion with compliance and risk leaders, including FINRA, on the latest updates concerning virtual branch office compliance visits. They discussed the status of virtual branch office inspection programs; rulemaking updates and FINRA Rule 3110 requirements for branch inspection programs; current remote branch office inspection challenges; and best practices when implementing a remote branch inspection program.

Program

1:00pm – 1:00pm

Participants

Jennifer L. Stout

Speaker

Jennifer L. Stout

Chief Executive Officer

Bates Group LLC

Jennifer L. Stout’s Biography

1:00pm – 2:30pm

Participants

Paul M. Tyrrell, Jill Ehret, Lou Moschetta, Joseph Neary, John O’Neill, Joseph J. Sheirer, Kevin Zambrowicz

Moderator

Panelists

Jill Ehret

Director, Bates Compliance

Bates Group LLC

Jill Ehret’s Biography

Lou Moschetta

Senior Vice President and Deputy Director of Compliance

Wells Fargo Advisors

Lou Moschetta’s Biography

Joseph Neary

Chief Risk Officer

Cetera Financial Group

Joseph Neary’s Biography

John O’Neill

Executive Vice President and Chief Compliance Officer

LPL Financial LLC

John O’Neill’s Biography

Joseph J. Sheirer

Vice President, Member Supervision Examination Program

Financial Industry Regulatory Authority (FINRA)

Joseph J. Sheirer’s Biography

Kevin Zambrowicz

Managing Director and Associate General Counsel, Office of General Counsel

SIFMA

Kevin Zambrowicz’s Biography

Venue

Virtual Gathering


Webinars, Webcasts, Virtual

Join us online for live and on-demand sessions! Participation instructions will be sent in advance of the event.

Picture of venue

Media

Media Inquiries and Registration
Contact Evan Grogan at 212.313.1134

Policy
View SIFMA’s official press policy.

Webinar Tips and FAQs

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Terms and Conditions

Code of Conduct

SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. View our Code of Conduct and anonymous incident report form.

Cancellations and Substitutions

Cancellation within 48 hours of the webinar will be subject to a $25 cancellation fee. No substitutions or transfers will be accepted.

Accreditation

CLE Credit

SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York.

Webinar attendees will be eligible for 1.5 CLE Credit hours. When registering for the webinar, please select the box for CLE Credit. All attendees who registered to receive CLE Credit will be sent an affirmation form from [email protected]. Attendance must be certified by each registrant seeking credits by completing the affirmation form immediately following the webinar using our CLE code word and emailing the form back to [email protected].  The moderator of the webinar will announce the CLE code word periodically throughout the webinar. CLE Credit cannot be certified after the webinar adjourns. Participants will receive CLE Certificates for New York State within 30 days of the webinar. Participants should self-file for CLE credit in other states.

View SIFMA’s Hardship Policy (pdf)