17 min listen
Sharing Data and Strengthening Compliance
FromFINRA Unscripted
ratings:
Length:
20 minutes
Released:
Sep 11, 2018
Format:
Podcast episode
Description
When you are growing up, you learn “sharing is caring.” At FINRA, Tom Gira’s Market Regulation and Transparency Services team takes that to heart when it comes to their surveillance data.
In episode 13, Gira explained how the cloud and machine learning enable his team to sift through massive amounts of data–we're talking up to 101 billion market events in a single day–to detect misconduct. In this episode, we learn that Tom and his team aren't just keeping that data to themselves; they are sharing it with financial firms to help them better achieve and monitor compliance with FINRA rules.
Learn how FINRA’s rapid remediation program and industry report cards are helping to foster stronger, fairer markets in this episode of FINRA Unscripted.
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Sweep Letter: Order Routing Conflicts
Pricing Disclosure in the Fixed Income Markets
In episode 13, Gira explained how the cloud and machine learning enable his team to sift through massive amounts of data–we're talking up to 101 billion market events in a single day–to detect misconduct. In this episode, we learn that Tom and his team aren't just keeping that data to themselves; they are sharing it with financial firms to help them better achieve and monitor compliance with FINRA rules.
Learn how FINRA’s rapid remediation program and industry report cards are helping to foster stronger, fairer markets in this episode of FINRA Unscripted.
Report Center
Sweep Letter: Order Routing Conflicts
Pricing Disclosure in the Fixed Income Markets
Released:
Sep 11, 2018
Format:
Podcast episode
Titles in the series (100)
What Does FINRA’s Chief Economist Do?: FINRA has an obligation to think through the impact of its rules. What is the problem we are trying to solve? How does this rule or solution solve that problem? Is it the best solution to the problem? Our Chief Economist Jonathan Sokobin asks those tough questions and more. by FINRA Unscripted