Branch Office

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

A peer passes on the firm's checklist for inspecting its branch offices

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