Branch Office

The SEC’s Division of Examinations third risk alert of the year reminds advisers to include their branch offices in their compliance P&Ps, especially those designed ...

Firms should consider their entire organization, including branch offices, when implementing written policies and procedures for the safeguarding of customer records and information to ensure ...

This is a template for a branch office supervision program

If your risk assessment deems it appropriate, you can make your 2023 branch office exams remote as well, the NFA states

Many firms periodically visit branch offices to show compliance is watching

It can be difficult enough to sense that you have a good handle on compliance issues in your office, let alone to know what’s going ...

Firm charged for failure to adopt P&Ps to prevent violations in areas of "high risk" advisers heightened supervision and more

A peer shares a template for auditing a branch office

The NFA amends the definition of branch office provided three conditions are met

Blame another regulatory change on the pandemic. The NFA has revised its rule regarding reporting branch offices on Form 7-R because of the continuing turmoil ...