2024 Small Firm Conference Agenda
Agenda is subject to change.
Wednesday, October 9
10:00 a.m. – 11:30 a.m.
Limited Capacity Pre-event Workshop—Registration Required
Cybersecurity Incident Management Workshop
Join us for a Cybersecurity Incident Management Workshop! As the complexity and prevalence of cyber threats grow, it is more essential than ever for CCOs and firm leaders to understand how to prepare for and respond to cyber-attacks. This 90-minute session will be facilitated by FINRA staff and covers key aspects of the types of cyber threats and risks firms can encounter, Incident Response frameworks, 3rd party risk considerations, utilizing the FINRA’s Small Firm Checklist, and actional tips firms can leverage to strengthen their cyber posture. Interested in attending? Select this workshop when registering for the conference to reserve your spot. Space is limited.
11:00 a.m. – 1:00 p.m.
Registration
1:00 p.m. – 1:30 p.m.
Fireside Chat With Robert Cook and Kayte Toczylowski
Join FINRA’s CEO and President, Robert Cook, and Kayte Toczylowski, Vice President for FINRA Member Relations and Education as they discuss the latest regulatory developments, the financial landscape, emerging risks and advances that FINRA is making to help small firms stay compliant.
1:30 p.m. – 2:15 p.m.
Fireside Chat: Risk Monitoring and Examination Perspectives With Ornella Bergeron and Michael Solomon
Hear from Member Supervision's Risk Monitoring and Examinations leaders as they provide thoughts on current initiatives, thematic risks and what firms can expect in the future from FINRA.
2:15 p.m. – 2:30 p.m.
Break
2:30 p.m. – 3:15 p.m.
Succession Plans: Take Steps Today to Prepare For Tomorrow
Having a strong transition plan can benefit your business by mitigating risks and lessening uncertainty surrounding unforeseen circumstances such as retirement, death, disability, illness or major events such as firm sales or mergers. Join this session to hear from FINRA and industry practitioners on tips, tools and effective practices your firm can take to prepare for the unexpected.
3:15 p.m. – 3:45 p.m.
Networking Break
3:45 p.m. – 4:30 p.m.
Perspectives on the Latest Cybersecurity Risks and Effective Practices
Implementing comprehensive cybersecurity programs is more important than ever as the complexity of the cyber landscape evolves. Join this session to hear about latest trends and events and what firms should consider for building resilient programs.
4:30 p.m. – 6:30 p.m.
Networking Reception
Thursday, October 10
7:30 a.m. – 3:00 p.m.
Registration
7:30 a.m. – 9:00 a.m.
Breakfast
9:00 a.m. – 9:45 a.m.
Practical Guidance for Supervising Off-Channel Communications
Join this session to hear from FINRA and firms on the latest developments in supervising off-channel communications, including the latest thematic observations, criteria to consider when implementing supervisory solutions and effective practices in firm surveillance, policy and training development.
9:45 a.m. – 10:00 a.m.
Break
10:00 a.m. – 10:45 a.m.
Vendor Outsourcing: Mitigating Risks and Managing the Lifecycle
Join this session to learn more about the vendor engagements and effective practices firms should consider when identifying and onboarding vendors, performing ongoing due diligence, managing vendor risks and offboarding.
10:45 a.m. – 11:00 a.m.
Break
11:00 a.m. – 11:45 a.m.
Building Strong Written Supervisory Procedures and Controls
Maintaining strong controls and failproof written supervisory procedures (WSPs) can pose a challenge for firms of all sizes, particularly given the fast pace of regulatory developments. Hear from firms on practical tips and effective practices to help strengthen your compliance posture.
11:45 a.m. – 12:45 p.m.
General Lunch and Trending Topics Networking
12:45 p.m. – 1:15 p.m.
Dessert With Exhibitors
1:15 p.m. – 2:00 p.m.
Navigating Supervision in the Age of Hybrid Work
Adoption of hybrid work practices have changed the supervisory landscape, posing new challenges in promoting a culture of compliance. Join to gain insights from the initial rollout of the Remote Inspections Pilot Program, the latest on Remote Supervisory Locations and get answers to the top questions firms have on the changes, tools, reporting and resources.
2:00 p.m. – 2:15 p.m.
Break
2:15 p.m. – 3:00 p.m.
The Road Ahead: Generative Artificial Intelligence and Large Language Models
Advancements in Generative Artificial Intelligence (AI) and Large Language Models are impacting businesses and individuals globally as more people adopt these evolving technologies. Attend this session to learn more about the financial industry's advances in AI use, risks, benefits and expectations for what's to come.
3:00 p.m.
Conference Adjourns