What to Expect: The 2020 Exam and Risk Monitoring Program
The 1920s was a period of great change and transition and the 2020s are shaping up to be the same—at least for FINRA’s Examination and Risk Monitoring program.
We’re kicking off the new Roaring 20s with three members of the Member Supervision senior leadership team to learn what to expect from the Examination and Risk Monitoring program in the year ahead.
On this episode of FINRA Unscripted, Ornella Bergeron, senior vice president of the carrying and clearing and diversified firm groups; Tom Nelli, senior vice president of exams and standards; and Bill St. Louis, senior vice president of the retail and capital markets firm groups, join us to tell us more.
Resources mentioned in this episode:
Episode 49: A Career Highlight: Exam and Risk Monitoring Program Transformation Update
Episode 45: Regulation Best Interest: Preparing for a New Standard of Conduct
FINRA Announces Senior Leadership Team Under New Examination and Risk Monitoring Program Structure
FINRA Examination Program Improvements
A Few Minutes with FINRA: Creating a Single, Unified Examination Program