IAR working from home office

Good Afternoon.

I am looking for some guidance on an RIA supervision question. We have an IAR that recently has moved the majority of his "working" time to his new home office. He also has an assistant that works from her home, primarily.

All new business, email correspondence, etc. is reviewed by the CCO and the advisor does not meet clients outside of our physical office.

What compliance responsibilities does our RIA have for this one off decision that the IAR has made?

Thank you in advance.
Sign In or Register to comment.