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Branch Office

The three-year pilot program allows eligible firms the option of conducting inspections of some or all branch offices remotely
A voluntary, three-year remote inspections pilot program allowing for fulfillment of inspection obligation of qualified branch offices is adopted
Businesswoman Addressing Work Colleagues In Meeting Around Boardroom Table
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 ...
Group of business people cooperating while examining paperwork on a meeting in the office.
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 ...
Group of business people cooperating while examining paperwork on a meeting in the office.
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
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