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.
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