Over the past year and as a result of the COVID-19 pandemic, FDA relied on alternative inspectional tools and approaches, including remote interactive evaluations and record requests, as well as a ...
The regulator wants to provide relief from in-person supervision until the SEC rules on a pilot program for online oversight. By Mark Schoeff Jr. Finra will allow brokerages to conduct online ...
FINRA Rule 3110(c)(1) requires broker-dealers to conduct onsite inspections of their offices of supervisory jurisdiction (OSJs), branch offices and non-branch locations. In response to the COVID-19 ...
A total of 741 member firms volunteered to participate in FINRA’s Remote Inspections Pilot Program, FINRA has announced in a blog post. The 741 participant firms represent 22% of FINRA member firms.
A total of 741 Finra member firms have opted-in to the first part of a three year pilot assessing remote inspections of branches and offices. Eligible member firms can satisfy their obligations for ...
Raleigh, NC, Jan. 31, 2025 (GLOBE NEWSWIRE) -- RegEd, the leading provider of RegTech enterprise solutions, has announced significant enhancements to its Audit Management solution to support the ...
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