We've Been Using Risk Assessments for Years - Here's Why

Oyster Stew - A Broth of Financial Services Commentary and Insights

English - October 13, 2022 14:00 - 18 minutes - 12.7 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: 2023 Strategic Planning – Attracting Talent and Multi-Generational Clients

Next Episode: Strategies To Get The Most Out Of Your Risk Assessment

Regulators have been approaching their exams and regulatory requirements from a risk-based perspective, and use those assessments to evaluate how firms are controlling for the risks they have.

In today’s podcast, Part 1 of 2 about using Risk Assessments as a tool in your compliance program, Oyster’s experts share why they use risk assessments and why you should, too.

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!