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

Webcast

Partner Gillian Emmet Moldowan (New York-Compensation, Governance & ERISA) 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.