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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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From NCFC to Enforcement Head: Reintroducing Bill St. Louis
Manage episode 399555117 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.
FINRA Enforcement works tirelessly on the front lines of investor protection, whether looking into cases of fraud or ways that bad actors try to manipulate the markets. This tremendous undertaking demands steadfast leadership.
On this episode, we meet Bill St. Louis, the former head of FINRA’s National Cause and Financial Crimes Detection Program and FINRA's new Executive Vice President and Head of Enforcement, to learn more about the man at the helm and what's on the horizon for Enforcement in the new year.
Resources mentioned in this episode:
2024 FINRA Annual Regulatory Oversight Report
FINRA Names Bill St. Louis as New Head of Enforcement
FINRA Fines BofA Securities $24 Million for Treasuries Spoofing
156 епізодів
Поширити
Manage episode 399555117 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.
FINRA Enforcement works tirelessly on the front lines of investor protection, whether looking into cases of fraud or ways that bad actors try to manipulate the markets. This tremendous undertaking demands steadfast leadership.
On this episode, we meet Bill St. Louis, the former head of FINRA’s National Cause and Financial Crimes Detection Program and FINRA's new Executive Vice President and Head of Enforcement, to learn more about the man at the helm and what's on the horizon for Enforcement in the new year.
Resources mentioned in this episode:
2024 FINRA Annual Regulatory Oversight Report
FINRA Names Bill St. Louis as New Head of Enforcement
FINRA Fines BofA Securities $24 Million for Treasuries Spoofing
156 епізодів
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Схожі до FINRA Unscripted
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
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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…
continue reading
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…
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 ...
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Переходьте в офлайн за допомогою програми Player FM !
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