PODCAST
One Enforcement: Introducing FINRA’s New Enforcement Team
May 21, 2018
Consistency and foreseeability: that’s what any regulator strives for. But when FINRA CEO Robert Cook asked around, he heard that wasn’t always the case—particularly when it came to two different enforcement teams.
Last July, FINRA responded by announcing it would bring together these two teams into One Enforcement under the leadership of Susan Schroeder, FINRA’s Executive Vice President and Head of Enforcement.
In this episode, Susan shares what she is doing to bring these two teams together, tells us why the integration is so important and details her greatest challenges so far.
Resources mentioned in this episode: