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Branch Office

Observations from nearly 40 examinations of SEC-registered IAs main offices and branch offices detailed
The list below contains a sample of observed practices that that may assist advisers in designing and implementing policies and procedures under the Compliance Rule
The impetus is growing belief B-Ds will continue to conduct business remotely
A peer shares the firm's branch office checklist and audit report template
A peer shares the firm's checklist for branch office inspections
An excel spreadsheet courtesy of Alaric Compliance Services
Besides bringing us an even year, January also will introduce the NFA’s biggest revision to its branch office supervision rule in 20 years.   The ...
The potential liability of compliance officers may be waning, but there are still some egregious cases where mischief leads to deep trouble for a compliance ...
In retrospect, the liens filed against Charles Winstead provided a warning that he deserved extra attention. The former Nationwide Securities’ insurance rep will have lots ...
To Sam Edwards, it takes few words to explain how Dallas-based WFG Advisors perished after 15 years, landing in bankruptcy court where former clients are ...
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