-Register Below-
Quest CE is set to host an upcoming webinar addressing recent changes in FINRA regulations that are reshaping compliance practices for member firms. The event will focus on FINRA’s new Remote Inspection Pilot Program and the latest updates to office classifications.
We are pleased to host Jamie Schlag and Sander Ressler from Essential Edge Compliance Outsourcing Services, a leading national provider of branch inspections, to lead the discussion. They will share their evolving experience and insights on how firms are adapting to these significant regulatory adjustments.
This informative session will take place on October 1, 2024, at 11:00 AM CST, concluding with an open Q&A where participants can engage directly with the panelists to discuss specific audit-related questions from participants.
Topics that will be covered during the webinar include:
FINRA Pilot Program
- Background and Key Dates
- Risk Assessment: factors to consider
- Pros/Cons of Joining Pilot Program
Overview of FINRA Rule 3110 Office Classifications
- Four Main Office Clarifications
- Detailed Exploration of Non-Branch Locations
- Focus on Residential Supervisory Location (RSL)
The Shift Back to Office-Based Work: Challenges and Alternatives
- Examining the trend of firms mandating office returns
- Case Studies: real-life examples of work models
- Financial implications for member firms
Best Practices for Audit Programs
- Key components of effective audit programs
- Technology and tools for remote auditing
- Open forum: Addressing specific audit-related questions from participants
The seat limit for this session is 500 participants and it anticipated to run for an estimated 45-60 minutes. If you or an associate is unable to attend the webinar but would still like a demonstration/copy of the presentation, please contact us here.
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About Quest CE
For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisors, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.
Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their compliance and continuing education programs. For more information on Quest CE, visit www.questce.com.
About Essential Edge
Essential Edge is a leading temporary staffing firm delivering a wide range of outsourced compliance services for broker-dealers, RIAs, banks and insurance companies. It has become a market leader because of the combination of its professional services, unparalleled flexibility and exceptional client service.
Essential Edge provides core compliance services including, but not limited to, branch office inspections, email and advertising review, and sales supervision. Essential Edge consultants, with an average of 20 years of compliance and supervisory experience, seamlessly supplement in-house efforts to satisfy the demands of regulators and financial advisors.
