Podcasts: FINRA Unscripted

The world of money laundering is a fast-paced and ever evolving, which can make it difficult for a financial firm to develop and maintain a strong anti-money laundering program. On this episode, two FINRA anti-money laundering experts discuss current priorities and best practices when it comes to AML regulation.

The only thing many people know about money laundering is what they’ve learned from Hollywood. So if you want to really understand what money laundering is, and more specifically, the efforts brokerage firms must take to prevent and detect it, tune in. On this episode we talk to two of FINRA’s Anti-Money Laundering experts.

FINRA’s 2019 Budget Summary provides transparency not just into FINRA’s operations, but also the self-regulatory organization’s financial guiding principles. On this episode, we hear from FINRA’s CFAO about how a drawing down on reserves can be part of a company’s long-term financial plan.

The Central Review Group is the nerve center of FINRA’s Office of Fraud Detection and Market Intelligence (OFDMI). On this episode of FINRA Unscripted, we learn how the group combs through tens of thousands of investor complaints, regulatory tips, disclosure events, routine regulatory filings and more every year to look for red flags of fraud or other concerns.

As a self-regulatory organization, FINRA is uniquely positioned to gain meaningful insights from its members to help ensure FINRA’s regulatory programs are working for everyone. Tasked with maintaining that relationship and keeping an open dialogue is FINRA’s Office of Member Relations and Education. On this episode, we learn how.

Twenty years after its last major update, FINRA’s Central Registration and Depository (CRD) system, the backbone of BrokerCheck, is getting a facelift. On this episode of FINRA Unscripted, we hear what users can expect from the multi-year CRD transformation process.

Looking to give your career a shot of the arm? Want understand not just the current regulatory landscape, but also the regulatory trajectory and where things are going? Tune into this episode of FINRA Unscripted to learn what makes the FINRA Institute at Georgetown CRCP program a can’t-miss opportunity.

RegTech tools can present both tremendous opportunities and tremendous challenges for firms and regulators alike. They can also pose some interesting philosophical questions when it comes to their implementation. On this episode, we hear three unique perspectives on these opportunities and challenges from regulators from the U.K., the states and FINRA

The Annual FINRA Priorities Letter is a great resource for firms looking to improve their compliance, supervisory and risk management programs. But the 2019 Letter is a little different. Tune into this episode of FINRA Unscripted to learn more about the changes to the letter and to drill into a few key topics.

Academics, economists, CEOs. FINRA’s Board of Governors is made up of a diverse group of individuals with diverse perspectives—a must for a group responsible for overseeing a complex organization such as FINRA. Learn more about the composition and responsibilities of the Board of Governors on this episode of FINRA Unscripted.