21 min listen
At, By or Through: Fraud in the Broker-Dealer Industry
FromFINRA Unscripted
ratings:
Length:
32 minutes
Released:
Apr 20, 2021
Format:
Podcast episode
Description
The brokerage industry has an important role to play when it comes to detecting, preventing and reporting fraud. It's not just a regulatory concern, but an important reputational concern for individual firms and the industry as a whole. On this episode, we hear from Greg Ruppert, head of FINRA's National Cause and Financial Crimes Detection Programs, about recent trends in the fraud space and how firms can work to protect themselves and their customers.Resources mentioned in this episode:FTC Scam AlertsFBI Fraud ResourcesIC3 Annual ReportsEpisode 60: Introducing Greg Ruppert and the NCFCEpisode 71: Overlapping Risks, Part I: AML and CybersecurityEpisode 73: Overlapping Risks, Part II: AML and Elder Financial Exploitation
Released:
Apr 20, 2021
Format:
Podcast episode
Titles in the series (100)
ERI: Introducing FINRA’s Weatherman: FINRA can’t predict the future, but like a weatherman, it can make predictions based on circumstances that exist today. FINRA’s Office of Emerging Regulatory Issues (ERI) looks to predict what storms may be brewing in the securities market and what areas they are likely to impact. by FINRA Unscripted