Last year, as FINRA staff looked to adjust to a new exam and risk monitoring program structure, the industry and the world was struck with an unprecedented global crisis.
On this episode, the second in a two-part series, we hear from Ornella Bergeron, senior vice president of the carrying and clearing and diversified firm groups; Tom Nelli, senior vice president of exams and standards; Bill St. Louis, senior vice president of the retail and capital markets firm groups; and Tim Thompson, senior vice president of the trading and execution firm group on how FINRA adjusted its Exam and Risk Monitoring program in the face. Then, we turn to the current year to talk about the new 2021 Report on FINRA’s Examination and Risk Monitoring Program to discuss insights on recent exam findings and priorities for the year ahead.
Resources mentioned in this episode:
Episode 79: Year in Review: The 2020 Exam and Risk Monitoring Program
2021 Report on FINRA’s Examination and Risk Monitoring Program
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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