I’m pleased to announce that I will be speaking at the Financial Markets Association’s (FMA) 34th Annual Securities Compliance Seminar, scheduled for April 23–25, 2025, at the B Ocean Hotel in Fort Lauderdale, Florida.

As a panelist on the opening session, “Key 2025 (and Beyond) Legislative and Regulatory Initiatives,” I’ll join industry experts to discuss anticipated regulatory changes under the Trump administration. Topics will include:

• Cybersecurity and technology governance
• Anti-Money Laundering (AML) considerations
• Trading rules and regulations
• Cryptocurrency developments
• Outside business activities and private securities transactions
• Communications with the public
• Regulation Best Interest (Reg BI)

This session aims to provide insights into the evolving compliance landscape and prepare attendees for upcoming challenges. For more information on each session, download the full agenda here.

The FMA Complaince seminar offers a comprehensive agenda covering critical topics such as off-channel communications, cash sweep programs, AML requirements, and the future of artificial intelligence in financial services. Participants will have the opportunity to engage with industry leaders and regulators, gaining practical knowledge to enhance their compliance strategies.

Special registration discounts are available, including 2-for-1, first-timer, and regulator rates. Florida attendees can also inquire about an additional special discount. To take advantage of the early bird rate, register before April 9.

For more details and to register, visit the FMA website: www.fmaweb.org

I look forward to seeing you there and engaging in meaningful discussions on the future of securities compliance!

FirstMark Regulatory Solutions is a compliance consulting organization based in Boca Raton, Florida. Areas of expertise and focus include anti-money laundering independent testing, FINRA supervisory controls testing, FINRA membership applications, and much more.