Podcasts: FINRA Unscripted
A broker-deal firm’s anti-money laundering efforts may overlap with any number of other regulatory concerns. On this episode, the second in a two-part series, we’re looking at how AML may overlap with a firm’s efforts to protect senior investors from exploitation and fraud.
Firm regulatory risks and priorities don't exist in a vacuum. And that is perhaps nowhere clearer than when it comes to a firm's anti-money laundering responsibilities. A firm's AML risks can overlap with any number of other priorities. On this episode, the first of a two-part series, we look at the overlapping risks of AML and cybersecurity.
As of June 30, 2020, the U.S. Securities and Exchange Commission’s Regulation Best Interest—or Reg BI—is officially in effect. What does a post implementation-date world look like? And how is FINRA working to ensure a consistent approach to examining around and enforcing the new regulation? Tune in to learn more.
FINRA is committed to the protection of senior investors and other vulnerable adults. That’s why FINRA launched the Securities Helpline for Seniors. On this episode, we hear how the Helpline handles calls, frequent areas of concern and how the Helpline has evolved over the five years since its launch.
The world of money laundering is a fast-paced and ever evolving, which can make it difficult for a financial firm to develop and maintain a strong anti-money laundering program. On this episode, two FINRA anti-money laundering experts discuss current priorities and best practices when it comes to AML regulation.
The only thing many people know about money laundering is what they’ve learned from Hollywood. So if you want to really understand what money laundering is, and more specifically, the efforts brokerage firms must take to prevent and detect it, tune in. On this episode we talk to two of FINRA’s Anti-Money Laundering experts.
Twenty years after its last major update, FINRA’s Central Registration and Depository (CRD) system, the backbone of BrokerCheck, is getting a facelift. On this episode of FINRA Unscripted, we hear what users can expect from the multi-year CRD transformation process.
More than 15,000 different stocks, options and bonds trade every day across millions of transactions. When it comes to detecting insider trading, it really is like finding a needle in a haystack. But that’s exactly what Sam Draddy and his team in the Office of Fraud Detection and Market Intelligence group do. Learn how in this episode of FINRA Unscripted.
Looking to break into the financial services industry? It is about to get easier. On October 1, 2018, FINRA will launch the Securities Industry Essential (SIE) exam, a new exam that will test concepts fundamental to the securities industry. And you don’t have to be associated with a financial firm to take it!
Senior investors may have unique needs that elevate the need for expedited attention with securities brokerage concerns. For three years, FINRA’s Securities Helpline for Seniors has been working to address those needs. Here’s how.