10-05-20
SIFMA Webinar Series: Virtual Branch Office Compliance Visits
Recorded: October 5, 2020
Presented by: SIFMA and Bates Compliance
1.5 CLE credits available
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. Topics include 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.
Featured Speakers:
- Jennifer Stout - CEO, Bates Group LLC - Opening Remarks
- Paul M. Tyrrell - Partner, Sidley Austin LLP - Moderator
- Joseph J. Sheirer - Vice President, Member Supervision Examination Program, FINRA
- Kevin Zambrowicz - Managing Director and Associate General Counsel, Office of General Counsel, SIFMA
- Jill Ehret - Director, Bates Compliance - Bates Group LLC
- Lou Moschetta - Senior Vice President and Deputy Director of Compliance, Wells Fargo Advisors
- Joseph Neary - Chief Risk Officer, Cetera Financial Group
- John O’Neill - Executive Vice President and Chief Compliance Officer, LPL Financial LLC