Sander Ressler
Managing Director
Sander Ressler, Managing Director of Essential Edge Compliance Outsourcing Services, LLC, has broad and deep expertise in compliance, supervision and operations, including more than 30 years of hands-on, frontline experience with broker-dealers and registered investment advisers. He has led more than 20 regulatory examinations conducted by the SEC, FINRA and various state departments governing banking, securities, and insurance.
Articles by Sander Ressler
Elder Abuse and Financial Exploitation: Senior Investor Protections
Financial professionals often find themselves on the front lines as many of their client relationships span decades and they may be the first to recognize signs of diminished capacity and/or financial exploitation.
Sander Ressler's Wealth Solutions Report columns
Sander Ressler's columns for Wealth Solutions Report, April 2021 to June 2025.
Branch Inspections: Regulatory Developments and Best Practices
Sander Ressler, Managing Director of Essential Edge Compliance Outsourcing Services, LLC, spoke on this branch inspections panel at RegEd Engage 2025 on April 25, 2025.
Decoding FINRA Rule 3110: Key Insights for Branch Inspections
In this webinar, we'll explore FINRA’s Remote Inspections Pilot Program, FINRA Rule 3110, the new Residential Supervisory Locations (RSLs).
FINRA’s Social Media Influencer Guidance: A Conversation Between Sander Ressler and Tom Selman
On February 28, 2023, the Financial Industry Regulatory Authority, Inc. (FINRA) provided a notice relating to social media influencers, customer acquisition and related information protection.
Maximizing Value From Your Branch Office Exams During Covid-19 and Beyond: A Hands-on Perspective
In many ways, branch inspections were the only windows into the conduct of a RR. In the past 10 years, imaging workflow has eliminated the issue of applications being submitted directly to product issuers.