Preparing for Modern Regulatory Exams

Oyster Stew - A Broth of Financial Services Commentary and Insights

English - August 05, 2020 11:00 - 19 minutes - 13.7 MB - ★★★★★ - 7 ratings
Investing 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: Understanding Risk-Based Regulatory Exams

Next Episode: Leadership - Connecting the Dots in Today's Business Environment

The pandemic has changed how firms operate, and regulators have had to change their examination practices to accommodate remote offices and staff. In this episode, Oyster Managing Director Ed Wegener, who was a former SVP and Midwest Regional Director of FINRA, shares his insider views on:

the changes in the regulator's examination programthe kind of the people that are doing examinationswhat firms should expect when an examiner walks in now

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!