Regulatory Alerts2021-02-09
FID Guidance on Telework Remote Work from Non-Licensed Locations
The Financial Industry Regulatory Authority (FINRA) issues guidance to member firms regarding the implementation of telework and remote work arrangements from non-licensed locations. The document outlines regulatory expectations for maintaining compliance with supervisory procedures, recordkeeping obligations, and cybersecurity standards during such operations. It emphasizes that firms must ensure adequate oversight and infrastructure to protect customer data and maintain business continuity regardless of employee location.
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