Regulatory Operations: Stronger Regulation Through Integrated Oversight
FINRA Unscripted
English - September 06, 2022 10:30 - 33 minutes - 31.1 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
Member Supervision, Market Regulation and Transparency Services and Enforcement. These three teams together make up Regulatory Operations or Reg Ops, which is at the very core of FINRA's efforts to protect investors and ensure fair and efficient markets for all.
On this episode, we hear Greg Ruppert, Executive Vice President of Member Supervision, Stephanie Dumont, Executive Vice President of Market Regulation and Transparency Services, and Jessica Hopper, Executive Vice President of Enforcement, about how they are working together to increase coordination and to ensure integrated oversight, to be able to better anticipate and address risks.
Resources mentioned on this episode:
Conferences and Events
Episode 99: From NCFC to Member Supervision Head: Reintroducing Greg Ruppert
Episode 87: Introducing Stephanie Dumont
Episode 77: Behind the Process: How an Enforcement Action Becomes an Enforcement Action