2021 Exam Priorities: The Importance of a Risk-Based Approach
Oyster Stew - A Broth of Financial Services Commentary and Insights
English - March 17, 2021 12:00 - 13 minutes - 9.24 MB - ★★★★★ - 7 ratingsInvesting Business News Business News finra sec regulatory brokerage advisory compliance exchange operations Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed
Previous Episode: Reg BI - FINRA Expects More
Next Episode: Are You Maximizing Your Clearing Firm's Capabilities?
Join Oyster CEO Buddy Doyle and consultants Ed Wegener, Evan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss the importance of viewing the FINRA's 2021 Exam Priorities and your compliance program through a risk-based lens.
Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.
Does your firm need help now? Contact us today!