
By Ed Wegener
Subscribe to our original industry insightsIn a much-anticipated notice, FINRA announced the implementation of the temporary guidance allowing firms the ability to conduct branch office inspections on a remote basis. While this is a big relief for compliance officers wondering how they were going to complete branch inspections in a period of safety concerns and social distancing, it is important to make sure that you read the fine print and that take the steps necessary to successfully take advantage of this temporary relief.
Oyster Consulting has been conducting remote testing for a long time. We have effectively utilized methods and tools to allow us to be able to share and review records, interview key personnel and stakeholders, observe locations and operations, and test supervisory systems. Our experts can help you develop your remote inspection plans, draft the necessary procedures and, where needed, conduct remote inspections of your branch locations.
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