The Oyster Solutions Guide
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Branch Inspections
FINRA is launching a new voluntary, three-year pilot program allowing eligible member firms to conduct remote branch inspections of their branch offices and non-branch locations. This initiative is designed to capitalize on advancements in technology and adapt to the shifting work environment induced by the COVID-19 pandemic.
AML Programs
Anti-Money Laundering (AML) is almost always listed in FINRA’s Examination and Risk Monitoring Programs as an area of focus for upcoming examinations. While AML compliance programs are often listed as regulatory priorities, FINRA highlights specific aspects of anti-money laundering programs on which it will be focusing.
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Regulatory Exams
At CRC Oyster we listen to your needs and will help you create efficient, effective policies and procedures tailored to your firm’s business model, select your technology platforms to give your clients the best service and prioritize risks so you know where to focus your time.