FINOP Issues—Enforcement Perspectives: (Duration: 32 Minutes) | FINRA.org

FINOP Issues—Enforcement Perspectives: (Duration: 32 Minutes)

FINRA Enforcement staff share firsthand insight into the financial and operational issues that land on their desks, from net capital deficiencies to books and records matters. Drawing on recent AWCs and real case experience, this session gives FINOPs a candid look at how enforcement matters unfold and what firms can do to navigate the process effectively.

FINRA Speakers

  • Loyd Gattis, Senior Director, Enforcement
  • Stacie Jungling, Senior Director, Investigations
  • Anthony Vinci, Senior Director, Office of Financial and Operational Risk Policy

Resources

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