Enforcement and Economics: Driving Better Case Outcomes Through Collaboration
FINRA Unscripted
English - May 16, 2023 10:30 - 21 minutes - 19.3 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: A New Twist on New Account Fraud: Detecting and Preventing ACATS Fraud
Litigation economics is not something they teach in most schools, but when it comes to unique or first of their kind enforcement matters, it's an important skill to have, whether it be in establishing sampling methodologies, the creation of a benchmark or development of restitution frameworks.
On this episode, we hear from Chris Kelly, acting Head of Enforcement, and Lori Walsh, Vice President of the Office of the Chief Economist, about how FINRA's Enforcement team has been partnering up with the Office of Regulatory Economics and Market Analysis to ensure better case outcomes.
Resources mentioned in this episode:
Episode 77: How an Enforcement Action Becomes an Enforcement Action