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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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Insider Trading Detection: FINRA’s Vital Role in Ensuring Market Integrity
Manage episode 418292843 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.
Every day, FINRA's Insider Trading Detection Program uses sophisticated technology and analytics to monitor 100% of trading in stocks, options and bonds for potentially suspicious activity around material news events, resulting in hundreds of referrals to the SEC and law enforcement every year.
On this episode, we hear from Sam Draddy, a Senior Vice President of the Market Abuse Unit within FINRA's Market Regulation and Transparency Services, and Karen Braine, Vice President of the Insider Trading Detection Program, about how they connect trading data, information from public sources and from companies and FINRA firms to pull together actionable intelligence.
Resources mentioned in this episode:
Episode 23: Insider Trading: Finding the Needle in the Haystack
Blog: FINRA Plays a Vital Role in Exposing Insider Trading
SEC Litigation Release: Sean R. Steward et al.
SEC Litigation Release: Andreas Bechtolsheim
165 епізодів
Поширити
Manage episode 418292843 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.
Every day, FINRA's Insider Trading Detection Program uses sophisticated technology and analytics to monitor 100% of trading in stocks, options and bonds for potentially suspicious activity around material news events, resulting in hundreds of referrals to the SEC and law enforcement every year.
On this episode, we hear from Sam Draddy, a Senior Vice President of the Market Abuse Unit within FINRA's Market Regulation and Transparency Services, and Karen Braine, Vice President of the Insider Trading Detection Program, about how they connect trading data, information from public sources and from companies and FINRA firms to pull together actionable intelligence.
Resources mentioned in this episode:
Episode 23: Insider Trading: Finding the Needle in the Haystack
Blog: FINRA Plays a Vital Role in Exposing Insider Trading
SEC Litigation Release: Sean R. Steward et al.
SEC Litigation Release: Andreas Bechtolsheim
165 епізодів
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Схожі до FINRA Unscripted
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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continue reading
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continue reading
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