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Jun 11, 2020

Financial Services Regulation Series — Re-Opening and Extended Remote Work: Considerations for Banks and Broker-Dealers

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JUN 11, 2020 

RE-OPENING AND EXTENDED REMOTE WORK: CONSIDERATIONS FOR BANKS AND BROKER-DEALERS 

 Webcast

Partners Gillian Emmet Moldowan (New York-Compensation, Governance & ERISA), Reena Agrawal Sahni (New York-Financial Institutions Advisory & Financial Regulatory), Russell Sacks (New York-Financial Institutions Advisory & Financial Regulatory), and associate Steven Blau (New York-Financial Institutions Advisory & Financial Regulatory) hosted a webinar discussion, Re-Opening and Extended Remote Work: Considerations for Banks and Broker-Dealers, covering the following topics:

  • Key considerations for designing a return-to-office plan, including forming a planning team, preparing the workplace physically, compliance with OSHA, EEOC, and CDC guidance, and discussion of liability risks and mitigation strategies.
  • Bank regulatory considerations related to remote work, including supervision, cybersecurity concerns, confidentiality considerations, and state and federal guidance and best practices.
  • Broker-dealer regulatory considerations relating to extended remote work, including state registration considerations, books-and-records considerations of videoconferences, and FINRA guidance on cybersecurity and supervisory best practices.

View the “Re-Opening and Extended Remote Work: Considerations for Banks and Broker-Dealers” presentation slides.

 

If you have any questions regarding the materials, please do not hesitate to contact the presenters. For further information regarding the re-opening portion of the webinar, please consult our publication, “Key Considerations in Designing a Return to Work Plan.”

This webinar was the first in the webinar series Financial Services Regulation During a Disruption – Current Issues and Looking Ahead. The next webinar in the series takes place on Thursday, June 18, Current Developments in AML and Sanctions.

Authors and Contributors

Gillian Emmett Moldowan

Partner

Compensation, Governance & ERISA

+1 212 848 5356

+1 212 848 5356

New York

Reena Agrawal Sahni

Partner

Financial Institutions Advisory & Financial Regulatory

+1 212 848 7324

+1 212 848 7324

New York

Russell Sacks

Partner

Financial Institutions Advisory & Financial Regulatory

+1 212 848 7585

+1 212 848 7585

New York

Steven Blau

Associate

Financial Institutions Advisory & Financial Regulatory

+1 212 848 8534

+1 212 848 8534

+1 416 360 2154

+1 416 360 2154

New York