17 min listen
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)
A Touch Point for Politicians and Other Regulators: FINRA’s Office of Government Affairs: It is 2018. America is facing a wave of new government appointments and upcoming elections at all levels of the government. And with new leaders, come new priorities. How does FINRA navigate the changing environment? We are in the nation’s capital with FINRA’s Senior Vice President of Government Affairs Greg Dean to learn how. by FINRA Unscripted