Encore | At, By or Through: Fraud in the Broker-Dealer Industry
FINRA Unscripted
English - December 14, 2021 12:45 - 32 minutes - 29.8 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
This episode originally aired in April 2021.
The brokerage industry has an important role to play when it comes to detecting, preventing and reporting fraud. It's not just a regulatory concern, but an important reputational concern for individual firms and the industry as a whole.
On this episode, we hear from Greg Ruppert, who was then head of FINRA's National Cause and Financial Crimes Detection Programs, but now heads Member Supervision, about recent trends in the fraud space and how firms can work to protect themselves and their customers.
Resources mentioned in this episode:
Episode 60: Introducing Greg Ruppert and the NCFC
Episode 71: Overlapping Risks, Part I: AML and Cybersecurity
Episode 73: Overlapping Risks, Part II: AML and Elder Financial Exploitation