Remote Branch Exams: Expectations, Requirements and Things to Consider

Oyster Stew - A Broth of Financial Services Commentary and Insights

English - January 11, 2021 19:00 - 18 minutes - 13 MB - ★★★★★ - 7 ratings
Investing Business News Business News finra sec regulatory brokerage advisory compliance exchange operations Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed

Previous Episode: Regulators - Behind the Scenes: Episode 4

Next Episode: FINRA 2021 Exam Priorities - Innovations & Regulations

Join Oyster Consulting's Buddy Doyle, Jeffrey Hiller, Evan Rosser and Ed Wegener as they provide insight on the current regulatory expectations and requirements around remote inspections, as well as things you should consider when preparing for an exam. Oyster's consultants have been conducting remote testing for clients for years. Jeffrey, Evan and Ed are all former regulators, and have been on both sides of the issue when it comes to remote inspections.

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!