Name
Navigating Remote Supervision: Lessons Learned from FINRA’s Remote Inspection Pilot Program
Date & Time
Tuesday, February 3, 2026, 11:30 AM - 12:30 PM
Speakers
Brett Baker, Head of Field Supervision, Osaic
Kosha Dalal, Vice President and Associate General Counsel, FINRA
Andrea Shafer, Chief Supervision Officer, Cambridge
Cody Lawler, Chief Supervision Officer & Head of Operations, Principal Securities, Inc.
Kosha Dalal, Vice President and Associate General Counsel, FINRA
Andrea Shafer, Chief Supervision Officer, Cambridge
Cody Lawler, Chief Supervision Officer & Head of Operations, Principal Securities, Inc.
Description
Outcomes from FINRA’s Remote Inspection Pilot Program are reshaping how firms approach supervision and compliance in a hybrid work environment. Pilot program participants will come together to share lessons learned, discuss operational and regulatory challenges and explore how technology can support effective and compliant remote supervision.
Track Sponsored by
Location Name
Coral 2
Full Address
Sheraton San Diego Resort
1380 Harbor Island Dr
San Diego, CA 92101
United States
1380 Harbor Island Dr
San Diego, CA 92101
United States
ORDER
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