Eversheds Sutherland (International) LLP
Eversheds Sutherland (International) LLP
12/07/2024 | Press release | Archived content
FINRA's Remote Inspection Pilot Met With Praise, Caution
Law360
Eversheds Sutherland Partner Ben Marzouk is quoted by Law360 about FINRA's new pilot program for remote inspections of broker-dealers, including on the regulator's impetus for the new program.
"They want to be seen as flexible and accommodating for the industry in allowing this, so I think they have been eager to encourage firms to enroll."
Commenting on the upfront work required to participate, Ben added: "The alternative of not enrolling in the remote inspection pilot means that you would sort of be faced with the possibility of entering people's homes and inspecting these remote offices."
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Ben Marzouk
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