Enforcement Guiding Principles
FINRA Unscripted
English - July 31, 2018 13:30 - 20 minutes - 19.2 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: How the Cloud and Machine Learning Have Transformed Market Surveillance
What are the principles that guide FINRA’s decision making when it comes to taking Enforcement action? That’s the question that’s been on the mind of FINRA’s head of Enforcement, Susan Schroeder, since she took on the role in mid-2017.
One of the first things Schroeder did in her new role was to get right down to basics and define what an effective Enforcement action looks like – to identify clearly her team’s common goals. She wanted to ensure everyone in the group was asking the same questions and considering the same factors in the same way on every case, every day.
In this episode, Susan rejoins us to discuss how getting back to basics has helped her build a more effective Enforcement team.
Resources mentioned in this episode: