2023’s Must-Read | Report on FINRA’s Examination and Risk Monitoring Program
FINRA Unscripted
English - January 10, 2023 14:55 - 37 minutes - 33.9 MB - ★★★★★ - 45 ratingsGovernment Business finra compliance regulation regulator financial services stocks bonds stock broker brokerage firm investing Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed
The best tool FINRA provides when it comes to firms developing their annual compliance program is now available. The 2023 Report on FINRA’s Examination and Risk Monitoring Program provides key insights and observations on two dozen key regulatory topics, making it a must-read for compliance professionals.
On this episode, Ornella Bergeron, Senior Vice President of Risk Monitoring, Michael Solomon, Senior Vice President of Examinations, and Bill St. Louis, Executive Vice President of the National Cause and Financial Crimes Detection Programs (NCFC), join us to dig into some of the new and noteworthy topics in the latest report.
Resources mentioned in this episode:
2023 Report on FINRA’s Examination and Risk Monitoring Program
Episode 71: Overlapping Risks, Part 1: Anti-Money Laundering and Cybersecurity