Register Now: Creating and Executing Effective, Customized Branch Examinations

NSCP-Oyster-Raymond James

Date:  Thursday, September 15, 2016
Time:  2:00pm ET / 1:00pm CT / 12:00pm MT / 11:00am PT / 10:00am AT

As the end of the year approaches, many firms are evaluating how, and whether they are able to complete their branch exams schedule.  FINRA Rule 3110(C) (1) says that branch exam inspections must be completed for each office scheduled, and should include the periodic review of customer accounts to detect and prevent irregularities or abuses. FINRA rules require OSJ’s to be examined annually, and non-OSJ’s and non-branch locations examined every three years. The schedule should address issues such as types of products sold, Registered Representatives that are under heightened supervision and high concentrations of senior/ vulnerable clients.

Join us on a webinar hosted by NSCP with Oyster Consulting experts Buddy Doyle and Bill Reilly, as well as Brian Stull, Associate Director, Private Client Group Compliance, Raymond James & Associates, Inc. as they explain:

  • How to create a customized schedule and examination program for remote, single-person and other locations
  • How to create risk-based examination modules and conduct examinations customized to firms’ business lines/products/model
  • Develop pre-audit and audit plans for examination locations, with focus on hot topics such as senior client issues
  • Maintenance and creation of typical books and records
  • Appropriate disposition of examination findings

Register now for this 60-minute webinar to be held on September 15, 2016 at 2:00 pm EST.

For more information, contact Libby Hall, Oyster Consulting at (804) 965-5400 or via email:  libby.hall@oysterllc.com

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