17 min listen
Year in Review: The 2020 Exam and Risk Monitoring Program
FromFINRA Unscripted
ratings:
Length:
27 minutes
Released:
Mar 23, 2021
Format:
Podcast episode
Description
2020 was a year of great change and transition for FINRA’s Exam and Risk Monitoring Program—and the pandemic wasn’t even the start of it. On this episode, the first in a two-part series, we hear from Ornella Bergeron, senior vice president of the carrying and clearing and diversified firm groups; Tom Nelli, senior vice president of exams and standards; Bill St. Louis, senior vice president of the retail and capital markets firm groups; and Tim Thompson, senior vice president of the trading and execution firm group on how the program faired in its first year after a major transformation.Resources mentioned in this episode:Episode 50: What to Expect: The 2020 Exam and Risk Monitoring ProgramEpisode 49: A Career Highlight: Exam and Risk Monitoring Program Transformation UpdateFINRA Announces Senior Leadership Team Under New Examination and Risk Monitoring Program Structure
Released:
Mar 23, 2021
Format:
Podcast episode
Titles in the series (100)
Combatting Cybersecurity Threats: Our tech-connected world faces threats against our data and technology. Both people and businesses must be vigilant to avoid a breach. In this FINRA Unscripted episode, hear from John Brady, FINRA's vice president for cybersecurity, as he talks to FINRA's Mike Rote about what his team does to combat threats and tips you can use in your life to be cyber secure. Watch: Listen: by FINRA Unscripted