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Вміст надано FINRA. Весь вміст подкастів, включаючи епізоди, графіку та описи подкастів, завантажується та надається безпосередньо компанією FINRA або його партнером по платформі подкастів. Якщо ви вважаєте, що хтось використовує ваш захищений авторським правом твір без вашого дозволу, ви можете виконати процедуру, описану тут https://uk.player.fm/legal.
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FINRA’s High-Risk Representative Program: Keeping an Eye on Individuals Posing a Heightened Risk of Misconduct
Manage episode 420737032 series 2309258
Вміст надано FINRA. Весь вміст подкастів, включаючи епізоди, графіку та описи подкастів, завантажується та надається безпосередньо компанією FINRA або його партнером по платформі подкастів. Якщо ви вважаєте, що хтось використовує ваш захищений авторським правом твір без вашого дозволу, ви можете виконати процедуру, описану тут https://uk.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
54 епізодів
Поширити
Manage episode 420737032 series 2309258
Вміст надано FINRA. Весь вміст подкастів, включаючи епізоди, графіку та описи подкастів, завантажується та надається безпосередньо компанією FINRA або його партнером по платформі подкастів. Якщо ви вважаєте, що хтось використовує ваш захищений авторським правом твір без вашого дозволу, ви можете виконати процедуру, описану тут https://uk.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
54 епізодів
Wszystkie odcinki
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Схожі до FINRA Unscripted
Bitcoin pioneer Charlie Shrem peels back the layers on the lives and backgrounds of the world's most impactful innovators. Centering around intimate narratives, Shrem uncovers a detailed, previously unspoken story of the genesis and evolution of bitcoin, cryptocurrency, artificial intelligence, and the web3 movements. Join Shrem as he journeys through the uncharted territories of tech revolutions, revealing the human side of the stories that shaped the digital world we live in today.
…
continue reading
Motley Fool Money is a daily podcast for stock investors. Weekday episodes offer a long-term perspective on business news with The Motley Fool's investment analysts. Weekend shows are a mix of investing classes and longer-form interviews. The show is hosted by Dylan Lewis, Ricky Mulvey, and Mary Long.
…
continue reading
Capitalmind looks at stocks, bonds, funds and the macro to bring you their view on the Indian financial markets. We discuss all things related to investing at our focussed podcast that keeps it simple. For more, go to capitalmind.in and to invest with us, visit capitalmindwealth.com
…
continue reading
Bitcoin groundbreakers share personal stories of how Bitcoin is changing lives for the better. Host Mauricio Di Bartolomeo, co-founder and CSO of Ledn, speaks with leading Bitcoin voices, entrepreneurs, and human rights advocates to hear their unique journey and practical real-world examples of how Bitcoin has made a positive impact in their lives. Brought to you by Ledn, a leading financial services company built for Bitcoin & digital assets. Ledn offers a suite of lending, saving and tradi ...
…
continue reading
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continue reading
Montgomery & Company (MoCo) is a weekly podcast and radio show hosted by two-time WNBA Champion and Co-Owner/Vice President of the Atlanta Dream, Renee Montgomery, in partnership with WABE Atlanta. Both insightful and compelling, MoCo features interviews with some of the world’s top athletes, entertainers, and innovators as well as roundtable discussions with Renee’s colleagues, friends, and family, about sports, culture and building generational wealth. Montgomery & Company: Sports, Cultu ...
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continue reading
Custom Manufacturing Industry podcast is an entrepreneurship and motivational podcast on all platforms, hosted by Aaron Clippinger. Being CEO of multiple companies including the signage industry and the software industry, Aaron has over 20 years of consulting and business management. His software has grown internationally and with over a billion dollars annually going through the software. Using his Accounting degree, Aaron will be talking about his organizational ways to get things done. Hi ...
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The Washington Post's Presidential podcast explores how each former American president reached office, made decisions, handled crises and redefined the role of commander-in-chief. It was released leading up to up to Election Day 2016, starting with George Washington in week one and ending on week 44 with the president-elect. New special episodes in the countdown to the 2020 presidential election highlight other stories from U.S. presidential history that can help illuminate our current momen ...
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Player FM - додаток Podcast
Переходьте в офлайн за допомогою програми Player FM !
Переходьте в офлайн за допомогою програми Player FM !
