What You Will Learn

    FINRA continues to evaluate its regulatory framework for branch office inspections, requiring firms to adapt their programs to meet evolving expectations.

    From Residential Supervisory Locations (RSLs) and the Remote Inspections Pilot Program to evolving examination priorities, compliance leaders must stay ahead of regulatory change while effectively managing supervisory risk across increasingly hybrid work environments.

    Join ACA Group's regulatory experts for an in-depth discussion of FINRA's latest initiatives impacting branch office supervision. During this webcast, we'll examine current examination trends, recent regulatory information requests, and practical strategies for maintaining compliant inspection programs.

    You’ll leave with actionable insights to strengthen your supervisory framework, prepare for evolving regulatory expectations, and navigate the next phase of branch office oversight.

    Discussion Topics

    • Recent developments in FINRA's branch office supervision framework
    • Key considerations surrounding RSLs and the Remote Inspections Pilot Program
    • FINRA examination trends and recent information requests related to branch office inspections
    • Best practices for supervising hybrid and remote work environments
    • Practical steps firms can take now to prepare for anticipated regulatory changes

     


     

    All webcasts are recorded and will be sent to registrants following the live broadcast.

    Register for the Webcast
    Our Speakers
    • Patrycja Savignano, Managing Director, ACA Group
    • Linda Howard, Corporate Vice President, New York Life
    • Adam Kennedy, Senior Managing Director, Cetera Financial Group
    • Andrew Mount, Counsel, Eversheds Sutherland
    • Francois Cooke, Managing Director, ACA Group
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    ACA Group (ACA) is the leading governance, risk, and compliance (GRC) advisor in financial services. For over 20 years, we’ve empowered our clients to reimagine GRC to launch, grow, and protect their business. Our global team of 1,700+ employees include former regulators and practitioners with a deep understanding of the regulatory landscape. Our innovative approach integrates advisory, managed services, distribution solutions, and analytics with our ComplianceAlpha® technology platform. For more information, visit www.acaglobal.com.  

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    Our combination of regulatory compliance expertise, managed services, and technology provides the support firms need to meet obligations, manage risk, and scale with confidence.