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FINRA Annual 2023: The evolution of branch office inspections

Branch of Bank of the West in California
Photo: Smith Collection/Gado/Getty Images

Alex Viall

5 min read
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The rise of hybrid working has prompted a rethink in the approach to branch inspections.

This in-depth session was hosted by Shelly Davis, senior director at FINRA, and she was joined by Jennifer Szaro, CCO of XML Securities, Erica Green, CCO at Vanguard, and Joe Sheirer, VP, Member Supervision Examination Program at FINRA.

The panel set out to evaluate how members manage what is happening

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