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, from 11:00 to 11:50am.

Speakers

  • Christina Ciccone, Compliance Director, Branch Exams, Osaic
  • Brian Heiss, Compliance Examiner, Ameritas Investment Co. LLC
  • Sander Ressler, Managing Director, Essential Edge Compliance Outsourcing Services, LLC

Discussion Topics

  • FINRA Remote Inspections Pilot Program
  • Residential Supervisory Location (RSL) Exams
  • Inspection Program Focus Areas:
    • Off-channel communications
    • Cybersecurity
    • Third-party technology oversight
  • Pre-Inspection Preparation Best Practices

Originally presented at RegEd Engage 2025, April 25, 2025. Download the slides