Branch Office

Firm charged for failure to adopt P&Ps to prevent violations in areas of "high risk" advisers heightened supervision and more

A peer shares a template for auditing a branch office

The NFA amends the definition of branch office provided three conditions are met

Blame another regulatory change on the pandemic. The NFA has revised its rule regarding reporting branch offices on Form 7-R because of the continuing turmoil ...

Continuing concerns tied to the pandemic has led the NFA to permit remote branch office exams through the end of this year.

A peer passes on a checklist the firm's B-D uses to inspect branch offices for compliance

A peer shares a template used to inspect both a B-D and an IA branch office

A peer passes on the firm's checklist for inspecting its branch offices

Observations from nearly 40 examinations of SEC-registered IAs main offices and branch offices detailed

The list below contains a sample of observed practices that that may assist advisers in designing and implementing policies and procedures under the Compliance Rule