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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 ...
Continuing concerns tied to the pandemic has led the NFA to permit remote branch office exams through the end of this year.
A peer passes on a checklist the firm's B-D uses to inspect branch offices for compliance
A peer shares a template used to inspect both a B-D and an IA branch office
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