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November 2, 2021

Please join Nelson Mullins Riley & Scarborough for the 2021 South Florida Health Forum taking place on November 2 in Fort Lauderdale, FL. We look forward to reconnecting with you after a year away from our annual event!

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IBDC-RIAC Webinar: Novel Coronavirus Leads to Novel Compliance Concerns: Branch Audits and Selling Away

Partners Scott Sherman and Dan Newman spoke on a panel hosted by the Independent Broker Dealer Consortium regarding compliance concerns for those in the banking and financial services industry.

Along with other panelists, Sherman and Newman went over:

  • Performing FINRA mandated branch supervision and audit responsibilities in a virtual world
  • Tips and best practices for reviewing OBAs and identifying potential selling away issues in the midst of a pandemic
  • Recent legal actions involving branch audits, supervision, and selling away
  • Incorporating virtual supervision into your newly established Reg BI procedures
  • Maintaining cyber vigilance in the world of virtual supervision and audits

Sherman practices in complex business and securities litigation. Newman is an experienced litigator of complex commercial, securities, and construction matters.


Thursday, Aug. 20, 2020

2 - 3:30 p.m. EDT

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