Preparing for FINRA’s Evolving Branch Office Supervision Rules

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 ongoing regulatory developments and examination considerations, compliance leaders must stay ahead of regulatory developments 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 complimentary 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 help strengthen your supervisory framework, prepare for future regulatory developments, and confidently navigate FINRA’s 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

Register today to stay ahead of FINRA’s evolving expectations and strengthen your branch office supervision program. 

Speakers

• Patrycja Savignano, Managing Director, ACA Group
  Patrycja Savignano is a Director at ACA, providing regulatory compliance expertise to broker-dealers across anti-money laundering, supervisory controls, registrations, and disclosure obligations.

   

• Linda Howard, Corporate Vice President, New York Life
  

  Linda Howard is Chief Compliance Officer and AML Officer at New York Life Insurance Company, where she oversees regulatory compliance, governance, examinations, and financial crime prevention programs across affiliated entities.
  
  

• Adam Kennedy, Senior Managing Director, Cetera Financial Group
  Adam Kennedy is Senior Managing Director and Head of Supervision at Cetera Financial Group, where he leads the firm’s enterprise supervision strategy, risk governance, and oversight of complex products.
  
  
• Andrew Mount, Counsel, Eversheds Sutherland
  
  Andrew is a financial services attorney who advises broker-dealers, investment advisers, bank fiduciaries, and investment vehicles on navigating complex securities laws and regulatory requirements.

   

• Francois Cooke, Managing Director, ACA Group
  Francois Cooke is a Managing Director in ACA’s Broker-Dealer Services Division, where he oversees broker-dealer compliance consulting, regulatory readiness, and the development of enterprise-wide compliance programs.