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From NCFC to Member Supervision Head: Reintroducing Greg Ruppert

From NCFC to Member Supervision Head: Reintroducing Greg Ruppert

FromFINRA Unscripted


From NCFC to Member Supervision Head: Reintroducing Greg Ruppert

FromFINRA Unscripted

ratings:
Length:
24 minutes
Released:
Feb 8, 2022
Format:
Podcast episode

Description

Greg Ruppert joined FINRA in 2020 to form and lead the National Cause and Financial Crimes Detection Programs. Now, he’s been tapped to lead Member Supervision, the team responsible for the surveillance and examination of FINRA member firms and for detecting and deterring activities that can cause investor harm. On this episode, we talk to Greg about how he views this transition in leadership and his goals and areas of focus in his new role.How are we doing? Take the FINRA Unscripted survey today. Resources mentioned in this episode:Episode 60: Introducing Greg Ruppert and the National Cause and Financial Crimes Detection ProgramsEpisode 86: FINRA’s Financial Intelligence Unit: Connecting the Dots2021 Report on FINRA’s Examination and Risk Monitoring ProgramPLI Podcast: Focus on FINRA Enforcement with Jessica HopperFINRA’s Upcoming Conferences and Events
Released:
Feb 8, 2022
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.