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コンテンツは FINRA によって提供されます。エピソード、グラフィック、ポッドキャストの説明を含むすべてのポッドキャスト コンテンツは、FINRA またはそのポッドキャスト プラットフォーム パートナーによって直接アップロードされ、提供されます。誰かがあなたの著作物をあなたの許可なく使用していると思われる場合は、ここで概説されているプロセスに従うことができますhttps://ja.player.fm/legal。
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2024’s Must-Read | FINRA’s Annual Regulatory Oversight Report
Manage episode 394319893 series 2309258
コンテンツは FINRA によって提供されます。エピソード、グラフィック、ポッドキャストの説明を含むすべてのポッドキャスト コンテンツは、FINRA またはそのポッドキャスト プラットフォーム パートナーによって直接アップロードされ、提供されます。誰かがあなたの著作物をあなたの許可なく使用していると思われる場合は、ここで概説されているプロセスに従うことができますhttps://ja.player.fm/legal。
As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity, and no single resource is a better example of that than FINRA's Annual Regulatory Oversight Report.
On this episode, Ornella Bergeron, Senior Vice President of Risk Monitoring, Omer Meisel, Executive Vice President of the National Cause and Financial Crimes Detection Program, Claire O'Sullivan, Vice President and Regulatory Advisor of Stakeholder Engagement, and Michael Solomon, Senior Vice President of Examinations, join us to discuss highlights from the 2024 report.
Resources mentioned in this episode:
2024 FINRA Annual Regulatory Oversight Report
Reg Notice 23-20: Guidance and Resources Related to Regulation Best Interest
Reg Notice 23-11: Concept Proposal for a Liquidity Risk Management Rule
Reg Notice 21-35: Proposed Order Routing Disclosure Requirements
Episode 136: An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
Episode 137: The Crucial Role of FINRA’s CAI Team
Episode 138: FINRA’s Blockchain Lab
156 つのエピソード
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Manage episode 394319893 series 2309258
コンテンツは FINRA によって提供されます。エピソード、グラフィック、ポッドキャストの説明を含むすべてのポッドキャスト コンテンツは、FINRA またはそのポッドキャスト プラットフォーム パートナーによって直接アップロードされ、提供されます。誰かがあなたの著作物をあなたの許可なく使用していると思われる場合は、ここで概説されているプロセスに従うことができますhttps://ja.player.fm/legal。
As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity, and no single resource is a better example of that than FINRA's Annual Regulatory Oversight Report.
On this episode, Ornella Bergeron, Senior Vice President of Risk Monitoring, Omer Meisel, Executive Vice President of the National Cause and Financial Crimes Detection Program, Claire O'Sullivan, Vice President and Regulatory Advisor of Stakeholder Engagement, and Michael Solomon, Senior Vice President of Examinations, join us to discuss highlights from the 2024 report.
Resources mentioned in this episode:
2024 FINRA Annual Regulatory Oversight Report
Reg Notice 23-20: Guidance and Resources Related to Regulation Best Interest
Reg Notice 23-11: Concept Proposal for a Liquidity Risk Management Rule
Reg Notice 21-35: Proposed Order Routing Disclosure Requirements
Episode 136: An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
Episode 137: The Crucial Role of FINRA’s CAI Team
Episode 138: FINRA’s Blockchain Lab
156 つのエピソード
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An independent podcast examining what the U.S. Congress is doing with our money and in our names. www.congressionaldish.com Follow @JenBriney on Twitter
…
continue reading
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continue reading
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…
continue reading
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continue reading
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