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At, By or Through: Fraud in the Broker-Dealer Industry

At, By or Through: Fraud in the Broker-Dealer Industry

FromFINRA Unscripted


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)

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.