Encore | Preparing for the Unexpected: The Ins and Outs and the Value of Succession Planning
FINRA Unscripted
English - November 28, 2023 11:30 - 27 minutes - 25.1 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
Previous Episode: 2023 Small Firm Conference: A Fireside Chat with Robert Cook
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:
Rule 4370: Business Continuity Planning
Rule 2040: Payments to Unregistered Persons