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FINRA’s Financial Intelligence Unit: Connecting the Dots

FINRA’s Financial Intelligence Unit: Connecting the Dots

FromFINRA Unscripted


FINRA’s Financial Intelligence Unit: Connecting the Dots

FromFINRA Unscripted

ratings:
Length:
22 minutes
Released:
Jun 29, 2021
Format:
Podcast episode

Description

Intelligence means different things to different people. But for FINRA, at its most basic, it is the actionable information that allows employees, from an organization’s senior executives to its examiners or investigators, to make informed decisions. On this episode, we sit down with Blake Snyder, Senior Director of FINRA’s Financial Intelligence Unit, to learn about this new group, and how it is looking to transform how FINRA takes in, analyzes, and shares data.Resources mentioned in this episode:Regulatory Notice 21-14: FINRA Alerts Firms to Recent Increase in ACH “Instant Funds” AbuseRegulatory Notice 20-30: Fraudsters Using Registered Representatives Names to Establish Imposter Websites
Released:
Jun 29, 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.