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)
Episode 90: Single Points of Accountability
FINRA Gateway
FINRA Examination and Risk Monitoring Programs
FINRA’s High-Risk Representative Program: Keeping an Eye on Individuals Posing a Heightened Risk of Misconduct
Insider Trading Detection: FINRA’s Vital Role in Ensuring Market Integrity
Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors Team
Preparing for Change: What to Know About the Shift to T+1
A Cybersecurity Update with FINRA's Complex Investigations and Intelligence Team
MRTS 2.0: A Redesign for a Rapidly Evolving Market
An Evolving Landscape: Generative AI and Large Language Models in the Financial Industry
Investors of Color: New Insights from FINRA’s Investor Education Foundation
From NCFC to Enforcement Head: Reintroducing Bill St. Louis
Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam
2024’s Must-Read | FINRA’s Annual Regulatory Oversight Report
Encore | Preparing for the Unexpected: The Ins and Outs and the Value of Succession Planning
2023 Small Firm Conference: A Fireside Chat with Robert Cook
Scary Money: The Latest Research from FINRA Investor Education Foundation
2023 Ketchum Prize: The Ultimate Fraud Fighter
Optimizing Efficiencies: An Update to FINRA’s MAP Transformation
FINRA’s Blockchain Lab: Regulation and Innovation For The Future
A Closer Look at Crypto: The Crucial Role of FINRA’s CAI Team
An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
Facilitation, Formation and Feedback: FINRA’s Reg Notice on the Capital Raising Process
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