09-18-20

SIFMA Webinar Series - Monday, October 5, 2020 - Virtual Branch Office Compliance Visits

SIFMA Webinar Series - Monday, October 5, 2020 - Virtual Branch Office Compliance Visits

In this complimentary CLE webinar, hear directly from compliance and risk leaders, including FINRA, on the latest updates concerning virtual branch office compliance visits during our webinar. Jill Ehret (Director, Bates Compliance) will appear on the panel, moderated by Paul Tyrrell (Partner, Sidley Austin), with opening remarks by Bates CEO Jennifer Stout. October 5, 2020 at 1 p.m. Eastern, co-hosted by SIFMA and Bates Compliance.

Join us to learn more about:

  • the status of virtual branch office inspection programs;
  • rulemaking updates and FINRA Rule 3110 requirements for branch inspection programs;
  • current remote branch office inspection challenges;
  • and best practices when implementing a remote branch inspection program.

1.5 CLE credits available

More Info and to Register

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SIFMA Webinar Series - Monday, October 5, 2020 - Virtual Branch Office Compliance Visits
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