17 min listen
Preparing for the Unexpected: The Ins and Outs and the Value of Succession Planning
FromFINRA Unscripted
Preparing for the Unexpected: The Ins and Outs and the Value of Succession Planning
FromFINRA Unscripted
ratings:
Length:
27 minutes
Released:
Jan 24, 2023
Format:
Podcast episode
Description
Succession planning, catastrophe planning, contingency planning--whatever you want to call it, these plans are important not just for customers and registered representatives but can even be a matter of life or death when it comes to the continued existence of a firm. On this episode, we talk to Jeanette Wingler, FINRA’s Special Assistant to the CEO, and Elena Schlickenmaier, a Senior Principal Analyst in Member Supervision, to dig into Regulatory Notice 22-23 on succession planning to hear how and why firms should plan for the expected and unexpected in life.Resources mentioned in this episode:Regulatory Notice 22-23Rule 4370: Business Continuity PlanningRule 2040: Payments to Unregistered PersonsContinuing Membership Application ResourcesFINRA Examination and Risk Monitoring Programs
Released:
Jan 24, 2023
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