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MEMBER HIGHLIGHT - SER member Colleen Diles spoke at the National Society of Compliance Professionals (NSCP) Conference in October.  Ms. Diles, a current SER Director, addressed FINRA’s regulatory practices in response to the evolving landscape of remote work. The panel: Remote Supervision Pilot Program and Residential Supervisory Locations (RSLs), addressed key aspects of FINRA's remote inspections and the designation of RSLs amid the growing trend of flexible work arrangements. Along with her fellow panelists, Colleen discussed the RSL impact to firm supervisory programs, governance, risk assessments, and quarterly reporting. This is the second year Ms. Diles has been a panelist at the NSCP conference.
 

SER member Gontran de Quillacq recently announced his firm, Navesink International, was awarded the "Best Financial Markets Expert Witness Specialists 2024 – USA" award by Acquisition International. Acquisition International, a flagship brand of AI Global Media, is an international, monthly digital business magazine "committed to bringing its readers up to the minute news, comment and analysis." 2024 was the inaugural addition of their Expert Witness Awards, where they recognized "the leading experts across a wide range of fields, whose top-class research, investigation, testimony, and consulting services have provided vital assistance in courtroom settings and related legal proceedings." You can read more about the award here, and see Navesink's announcement here.  
 

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MEMBER HIGHLIGHT - The annual election of Directors and President-Elect took place on July 26th at the Annual Member Meeting in Washington, D.C. Each year, the Nominiating Committee selects a slate of candidates to fill seats for retiring Director positions and the President-Elect. The committee puts great effort toward nominating active members and balancing the Board with experienced directors and bringing on newer candidates. The Nominating Committee's slate was unanimously approved by the Voting Membership in attendance. The Board of Directors consists of 12 members. Directors generally serve three-year terms, and can serve no more than two consecutive terms. The President-Elect serves a one year term with the key role of Conference Agenda Chair for the upcoming year. The Directors added to the Board at the conclusion of the meeting were Paul Carroll (Past Director), Colleen Diles, Hollie Mason (serving a second term), and Robert Oram. Patrick M. Dennis was elected as President-Elect. Congratulations to all!  
View The Full Conference Recap Here

MEMBER HIGHLIGHT - SER members Alan Besnoff and GG Genco Dube were honored on July 26th at this year's Annual Member Meeting in Washington, D.C. Outgoing President Bob Graham presented each retiring Director with a plaque commemorating their years on the Board.

Alan Besnoff served two terms on the Board for seven years, from 2017-2024, and as President from 2022-2023. He chaired the 2022 Conference, as well as serving as Membership Chair for several years and as Nominating Chair this past year.

Visit Terrence's full profile here, or by clicking above.
 

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Visit Jeff's full profile here
"At the Forefront: Fintech Conversations" podcast episode here
"Outsourced Trading: Streamlining Operations for Enhanced Performance" panel here
 

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