About This Course
This CLE program will highlight best practices related to branch office supervision and oversight. Panelists discuss supervisory policies, practices and controls to mitigate risks associated with branch office activities. Panelists also discuss how to effectively develop and implement a tailored branch office inspection program. FINRA staff also share effective supervisory and oversight practices, as well as discuss common branch office examination findings.
After attending this session, you will be able to:
- Understand supervisory policies, practices and controls to mitigate risks associated with branch office activities.
- Determine how to effectively develop and implement a tailored branch office inspection program.
- Describe effective supervisory and oversight practices as well as discuss common branch office examination findings from a regulator perspective.
FINRA® is a registered trademark of the Financial Industry Regulatory Authority, Inc.