Virtual Branch Office Compliance Visits
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.

Virtual Branch Office Compliance Visits
Registration Closed
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.