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The Ombudsman: FINRA’s Confidential, Independent Resource

The Ombudsman: FINRA’s Confidential, Independent Resource

FromFINRA Unscripted


The Ombudsman: FINRA’s Confidential, Independent Resource

FromFINRA Unscripted

ratings:
Length:
24 minutes
Released:
Aug 18, 2020
Format:
Podcast episode

Description

An ombudsman is a neutral party that acts as an impartial, confidential and independent resource that informally works to assist in finding solutions to issues or concerns an individual may have with an organization. And FINRA's Ombudsman is no different. On this episode, we sit down with FINRA's Ombudsman Cindy Foster to learn more about the office and how she works to prevent real or perceived conflicts of interest and, when necessary, recommend changes to ensure fair policies and procedures remain in place.Resources mentioned in this episode:Office of the OmbudsmanFINRA Audit CommitteeInternational Ombudsman AssociationUnited States Ombudsman AssociationFINRA Whistleblower Tip LineInvestor Complaint Center
Released:
Aug 18, 2020
Format:
Podcast episode

Titles in the series (100)

FINRA Unscripted is the voice of the nation’s largest non-government securities regulator. We bring together FINRA leaders to discuss existing and emerging regulatory topics that impact the broker-dealer industry. We share best practices for compliance officers, insights into the operations of a 3,500 person self-regulated organization and educational tools and information for investors. Every investor in America relies on one thing: fair financial markets. That is what FINRA works every day to ensure.