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Branch Office

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 ...
The number of FINRA-registered brokerage firms and the registered reps working for them have continued their steady decline. The sobering statistics come from the SRO’s ...
A targeted FINRA examination sweep—the first announced by the SRO for 2018—will focus on broker-dealers’ supervisory controls tied to products linked to the Chicago Board ...
A FINRA proposal giving broker-dealers the flexibility to conduct remote inspections of “qualifying offices” is getting qualified support from your peers. Their question: Good start, ...
Cybersecurity is one of the top risks facing broker-dealers, according to a new report on FINRA examination findings released Dec. 8 by the SRO (BD ...
In a nod to advances in communications technology, increased acceptance of flexible work arrangements and the costs affixed to on-site inspections of remote office locations, ...
Mike Lundy had run Primerica Financial Service’s office in Rapid City, S.D., for so long that it could have been assumed that everything was hunky-dory. ...
If your firm is following the trend of more IAs opening up branch offices, you’re advised to develop compliance P&Ps for monitoring the locations.    ...
Staff intends to focus on registered investment advisers that provide advisory services from multiple locations. The examinations will focus on evaluating the design and effectiveness ...
FINRA has been doing a lot more exams of branch offices (IA Watch, June 16, 2016). Here are some tips on how you can survive ...
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 ...
A peer shares a template for auditing a branch office.
A peer passes on the firm's checklist for inspecting its branch offices
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