21 min listen
Regulatory Operations: Stronger Regulation Through Integrated Oversight
FromFINRA Unscripted
ratings:
Length:
34 minutes
Released:
Sep 6, 2022
Format:
Podcast episode
Description
Member Supervision, Market Regulation and Transparency Services and Enforcement. These three teams together make up Regulatory Operations or Reg Ops, which is at the very core of FINRA's efforts to protect investors and ensure fair and efficient markets for all. On this episode, we hear Greg Ruppert, Executive Vice President of Member Supervision, Stephanie Dumont, Executive Vice President of Market Regulation and Transparency Services, and Jessica Hopper, Executive Vice President of Enforcement, about how they are working together to increase coordination and to ensure integrated oversight, to be able to better anticipate and address risks. Resources mentioned on this episode:Conferences and EventsFINRA Report CardsEpisode 99: From NCFC to Member Supervision Head: Reintroducing Greg RuppertEpisode 87: Introducing Stephanie DumontEpisode 77: Behind the Process: How an Enforcement Action Becomes an Enforcement Action
Released:
Sep 6, 2022
Format:
Podcast episode
Titles in the series (100)
Enforcement Guiding Principles: What are the principles that guide FINRA’s decision making when it comes to taking Enforcement action? That’s the question that’s been on the mind of FINRA’s head of Enforcement, Susan Schroeder, since she took on the role in mid-2017. In this episode, Susan rejoins us to discuss how getting back to basics is helping her build a more effective Enforcement team. by FINRA Unscripted