SIFMA C&L Virtual Forum
For more than half a century, SIFMA’s Compliance & Legal Annual Seminar has been the preeminent meeting place for compliance…
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.
SIFMA Webinar Series
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.
Register
| Registration Rates | Complimentary |
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| Registration Rates | Complimentary |
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| Registration Rates | Complimentary |
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| Member | Regulator | Non-Member | |
|---|---|---|---|
| Registration Rates | Complimentary | Complimentary | Complimentary |
Program
1:00pm – 1:00pm
Participants
Jennifer L. Stout
Speaker
1:00pm – 2:30pm
Participants
Paul M. Tyrrell, Jill Ehret, Lou Moschetta, Joseph Neary, John O’Neill, Joseph J. Sheirer, Kevin Zambrowicz
Moderator
Panelists
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.
Sponsorship
Interested in sponsoring a SIFMA Webinar? Contact Diana Serri at 212.313.1258.
SIFMA's Strategic Partners
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
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.