Succession planning, catastrophe planning, contingency planning--whatever you want to call it, these plans are important not just for customers and registered representatives but can even be a matter of life or death when it comes to the continued existence of a firm.
On this episode, we talk to Jeanette Wingler, FINRA’s Special Assistant to the CEO, and Elena Schlickenmaier, a Senior Principal Analyst in Member Supervision, to dig into Regulatory Notice 22-23 on succession planning to hear how and why firms should plan for the expected and unexpected in life.
Resources mentioned in this episode:
Regulatory Notice 22-23
Rule 4370: Business Continuity Planning
Rule 2040: Payments to Unregistered Persons
Continuing Membership Application Resources
FINRA Examination and Risk Monitoring Programs
Beyond Hollywood: Money Laundering in the Securities Industry
2019 Budget Summary: A Look Behind the Curtain
FINRA’s Point Guard: The Central Review Group
Member Relations & Education: Making Regulation Smarter
CRD Transformation: Enhancing the Registration & Disclosure Process
A Look at the FINRA Institute at Georgetown CRCP Program
The Future of RegTech: The Challenges and Opportunities
The Annual Priorities Letter: A Fresh Take
Behind the Scenes: FINRA's Board of Governors
Bits & Bytes: A Look at Effective Cybersecurity Practices
Insider Trading: Finding the Needle in the Haystack
Millennials and Money: How to Get Started on the Road to Investing
Member Supervision: Introducing Bari Havlik and the Exam Program Transformation
Cybersecurity Awareness Month: Stay Connected and Protected
Debunked: 7 Myths about Millennials—the Underinvested Generation
The New SIE Exam: Opening Doors to the Securities Industry
Sharing Data and Strengthening Compliance
How FINRA Rules Get Made (And Reviewed)
Fintech, Regtech & Suptech: Keeping Up with Industry Innovations
Enforcement Guiding Principles
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