15 min listen
FINRA's Risk Monitoring Program: Understanding the Unique Risks of Every Firm
FromFINRA Unscripted
ratings:
Length:
33 minutes
Released:
Apr 4, 2023
Format:
Podcast episode
Description
FINRA's Risk Monitoring team is responsible for assessing financial, operational and business conduct risks that exist within individual member firms and across the industry. But they're also the day-to-day point of contact for firms for any questions they may have for FINRA. On today's episode, we're talking to Ornella Bergeron, Senior Vice President of Member Supervision's Risk Monitoring team, Brian Kowalski, Vice President of Diversified and Carrying & Clearing with the Risk Monitoring team, and Andrew McElduff, Vice President of Retail with Risk Monitoring learn more about the team’s mandate and work and why they’re such a resource for the member firms they work with.Resources mentioned in this episode:Reg Notice 22-25: FINRA Alerts Firms to Recent Trend in Small-Cap IPOsReg Notice 22-29: FINRA Alerts Firms to Increased Ransomware Risks15a-6 Chaperone Firms (from 2021 Exam and Risk Monitoring Report)Episode 90: Single Points of AccountabilityFINRA GatewayFINRA Examination and Risk Monitoring Programs
Released:
Apr 4, 2023
Format:
Podcast episode
Titles in the series (100)
Member Supervision: Introducing Bari Havlik and the Exam Program Transformation: When Bari Havlik joined FINRA as Executive Vice President of the newly named Member Supervision team, she did so with big plans for the examination and risk monitoring programs. In this episode, Bari shares her vision for the future and how her background in compliance has shaped her views. by FINRA Unscripted