FINRA's Risk Monitoring Program: Understanding the Unique Risks of Every Firm
FINRA Unscripted
English - April 04, 2023 10:30 - 33 minutes - 30.5 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
FINRA's Risk Monitoring team is responsible for assessing financial, operational and business conduct risks that exist within individual member firms and across the industry. But they're also the day-to-day point of contact for firms for any questions they may have for FINRA.
On today's episode, we're talking to Ornella Bergeron, Senior Vice President of Member Supervision's Risk Monitoring team, Brian Kowalski, Vice President of Diversified and Carrying & Clearing with the Risk Monitoring team, and Andrew McElduff, Vice President of Retail with Risk Monitoring learn more about the team’s mandate and work and why they’re such a resource for the member firms they work with.
Resources mentioned in this episode:
Reg Notice 22-25: FINRA Alerts Firms to Recent Trend in Small-Cap IPOs
Reg Notice 22-29: FINRA Alerts Firms to Increased Ransomware Risks
15a-6 Chaperone Firms (from 2021 Exam and Risk Monitoring Report)