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
How the Cloud and Machine Learning Have Transformed Market Surveillance
How the Cloud Has Revolutionized FINRA Technology
What is FINRA’s Dispute Resolution Forum?
ERI: Introducing FINRA’s Weatherman
One Enforcement: Introducing FINRA’s New Enforcement Team
The Senior Helpline: Addressing the Unique Needs of Senior Investors
One FINRA: A Commitment to Diversity and Inclusion
Combatting Cybersecurity Threats
A Touch Point for Politicians and Other Regulators: FINRA’s Office of Government Affairs
Investing Smarter
FINRA360: Building a Stronger FINRA
Building A More Transparent Organization
What Does FINRA’s Chief Economist Do?
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