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Innhold levert av FINRA. Alt podcastinnhold, inkludert episoder, grafikk og podcastbeskrivelser, lastes opp og leveres direkte av FINRA eller deres podcastplattformpartner. Hvis du tror at noen bruker det opphavsrettsbeskyttede verket ditt uten din tillatelse, kan du følge prosessen skissert her https://no.player.fm/legal.
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FINRA’s High-Risk Representative Program: Keeping an Eye on Individuals Posing a Heightened Risk of Misconduct

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Innhold levert av FINRA. Alt podcastinnhold, inkludert episoder, grafikk og podcastbeskrivelser, lastes opp og leveres direkte av FINRA eller deres podcastplattformpartner. Hvis du tror at noen bruker det opphavsrettsbeskyttede verket ditt uten din tillatelse, kan du følge prosessen skissert her https://no.player.fm/legal.

Protecting investors from harm is a top FINRA priority. And when it comes to specific individuals who may pose a risk, FINRA's High Risk Representative (HRR) Program is on the case.

On this episode, Brooks Brown, Senior Director, and Eric Hebert and John Salerno, Investigative Directors, from the HRR unit join us to explain how they identify and monitor individuals who pose an elevated risk of misconduct to protect investors and maintain the integrity of the market.

Resources mentioned in this episode:

Episode 114: Bringing Cases Against Individual Brokers

Episode 150: A Cybersecurity Update with FINRA’s Complex Investigations and Intelligence Team (CII)

Key Topic: Protecting Investors from Misconduct

Virtual Conference Panel: Supervision of High-Risk Activities

Find us: X / YouTube /LinkedIn / Facebook / E-mail

  continue reading

56 episoder

Artwork
iconDel
 
Manage episode 420737032 series 2309258
Innhold levert av FINRA. Alt podcastinnhold, inkludert episoder, grafikk og podcastbeskrivelser, lastes opp og leveres direkte av FINRA eller deres podcastplattformpartner. Hvis du tror at noen bruker det opphavsrettsbeskyttede verket ditt uten din tillatelse, kan du følge prosessen skissert her https://no.player.fm/legal.

Protecting investors from harm is a top FINRA priority. And when it comes to specific individuals who may pose a risk, FINRA's High Risk Representative (HRR) Program is on the case.

On this episode, Brooks Brown, Senior Director, and Eric Hebert and John Salerno, Investigative Directors, from the HRR unit join us to explain how they identify and monitor individuals who pose an elevated risk of misconduct to protect investors and maintain the integrity of the market.

Resources mentioned in this episode:

Episode 114: Bringing Cases Against Individual Brokers

Episode 150: A Cybersecurity Update with FINRA’s Complex Investigations and Intelligence Team (CII)

Key Topic: Protecting Investors from Misconduct

Virtual Conference Panel: Supervision of High-Risk Activities

Find us: X / YouTube /LinkedIn / Facebook / E-mail

  continue reading

56 episoder

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