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COVID-19 Task Force: Staying Innovative and Collaborative Through Crisis

COVID-19 Task Force: Staying Innovative and Collaborative Through Crisis

FromFINRA Unscripted


COVID-19 Task Force: Staying Innovative and Collaborative Through Crisis

FromFINRA Unscripted

ratings:
Length:
21 minutes
Released:
Jun 9, 2020
Format:
Podcast episode

Description

The COVID-19 pandemic is unlike any other crisis in recent history, and that presents an opportunity to criminals who are flexible and adaptable. That means firms and regulators must be flexible and adaptable too. In his first week on the job, Greg Ruppert, the new head of the National Cause and Financial Crimes Detection Programs (NCFC), created a COVID-19 Task Force to help FINRA tackle emerging issues to quickly protect investors and to maintain the integrity of our markets.On this episode, Greg joins us to tell us more about the task force, how firms can identify, detect and mitigate emerging threats and the importance of adopting a “one team, one fight” approach. Resources mentioned in this episode:Episode 60: Introducing Greg Ruppert and the NCFCCOVID-19 Resource PageFraud and Your Investment Accounts During COVID-19 PandemicRegulatory Notice 20-13Virtual Conference Panels
Released:
Jun 9, 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.