Understanding Risk-Based Regulatory Exams

Understanding Risk-Based Regulatory Exams

Update: 2020-07-29
Share

Description

For financial services firms registered with regulatory bodies, regulatory exams have instilled the gamut of emotions from annoyance to anxiety, to outright fear. Fortunately, much of this could be mitigated with a better understanding of the exam process, the necessity for robust risk assessments, and by nurturing the firm's relationship with it's regulatory contact.  This week's episode features Oyster Managing Director Ed Wegener, formerly a SVP and Midwest Regional Director of FINRA discussing risk assessments and how FINRA is using those assessments to help determine the scope, depth, breadth and frequency of their examinations of broker-dealers. 

Comments 
Download from Google Play
Download from App Store
00:00
00:00
x

0.5x

0.8x

1.0x

1.25x

1.5x

2.0x

3.0x

Sleep Timer

Off

End of Episode

5 Minutes

10 Minutes

15 Minutes

30 Minutes

45 Minutes

60 Minutes

120 Minutes

Understanding Risk-Based Regulatory Exams

Understanding Risk-Based Regulatory Exams

Buddy Doyle, Ed Wegener