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What to Expect: The 2020 Exam and Risk Monitoring Program

What to Expect: The 2020 Exam and Risk Monitoring Program

FromFINRA Unscripted


What to Expect: The 2020 Exam and Risk Monitoring Program

FromFINRA Unscripted

ratings:
Length:
26 minutes
Released:
Jan 7, 2020
Format:
Podcast episode

Description

The 1920s was a period of great change and transition and the 2020s are shaping up to be the same—at least for FINRA’s Examination and Risk Monitoring program.We’re kicking off the new Roaring 20s with three members of the Member Supervision senior leadership team to learn what to expect from the Examination and Risk Monitoring program in the year ahead.On this episode of FINRA Unscripted, Ornella Bergeron, senior vice president of the carrying and clearing and diversified firm groups; Tom Nelli, senior vice president of exams and standards; and Bill St. Louis, senior vice president of the retail and capital markets firm groups, join us to tell us more.Resources mentioned in this episode:Episode 49: A Career Highlight: Exam and Risk Monitoring Program Transformation UpdateEpisode 45: Regulation Best Interest: Preparing for a New Standard of ConductFINRA Announces Senior Leadership Team Under New Examination and Risk Monitoring Program StructureFINRA Examination Program ImprovementsA Few Minutes with FINRA: Creating a Single, Unified Examination Program
Released:
Jan 7, 2020
Format:
Podcast episode

Titles in the series (100)

FINRA Unscripted is the voice of the nation’s largest non-government securities regulator. We bring together FINRA leaders to discuss existing and emerging regulatory topics that impact the broker-dealer industry. We share best practices for compliance officers, insights into the operations of a 3,500 person self-regulated organization and educational tools and information for investors. Every investor in America relies on one thing: fair financial markets. That is what FINRA works every day to ensure.