Preparing for Modern Regulatory Exams

Preparing for Modern Regulatory Exams

Update: 2020-08-05
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Description

The pandemic has changed how firms operate, and regulators have had to change their examination practices to accommodate remote offices and staff.  In this episode, Oyster Managing Director Ed Wegener, who was a former SVP and Midwest Regional Director of FINRA, shares his insider views on:

  • the changes in the regulator's examination program
  • the kind of the people that are doing examinations
  • what firms should expect when an examiner walks in now 


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Preparing for Modern Regulatory Exams

Preparing for Modern Regulatory Exams

Ed Wegener, Buddy Doyle