We are pleased to announce that Carolyn Mendelson, Of Counsel at Clyde Snow & Sessions, will speak at the Financial Markets Association’s 34th Annual Securities Compliance Seminar in Fort Lauderdale, Florida, April 23-25, 2025.
Ms. Mendelson will be co-presenting on “Identifying Issues and Developing Effective WSPs for Remote Supervisory Locations and Other Remote Locations.” Paxton Dunn of FINRA, Melinda Wolfe of Kovack Securities Inc., and Carolyn will cover critical topics, including:
- Technological and Supervisory challenges
- Remote office examinations conducted by both firms and regulators
- FINRA releases reference remote office and remote locations supervision and examinations
- Need to develop WSPs and include in risk assessments and BCPs, including technological enhancements
- FINRA issues Remote Inspections Pilot PRogram effective July 1, 2024
- Common challenges and findings with remote inspections
- Best practices for remote supervision
The panel will be moderated by Bill Reilly, Director at Oyster Consulting, LLC.
To register for the 34th Annual Securities Compliance Seminar:
- Call: 919-494-7479
- Email: dp-fma@starpower.net
- Online: www.fmaweb.org
- There is a 2-for-1 registration special for attendees
- 3-for-1 registration for all Florida attendees
- *CLE will be available