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
Andrea Shafer, Executive Vice President & Chief Supervision Officer, Cambridge Investment Research, Inc.
Cody Lawler, Chief Supervision Officer & Head of PSI Operations, Principal Securities, Inc.
Kosha Dalal, Vice President & Associate General Counsel, FINRA
Brett Baker, Head of Field Supervision, Osaic
Cody Lawler, Chief Supervision Officer & Head of PSI Operations, Principal Securities, Inc.
Kosha Dalal, Vice President & Associate General Counsel, FINRA
Brett Baker, Head of Field Supervision, Osaic
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.
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
5J