17 min listen
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)
Combatting Cybersecurity Threats: Our tech-connected world faces threats against our data and technology. Both people and businesses must be vigilant to avoid a breach. In this FINRA Unscripted episode, hear from John Brady, FINRA's vice president for cybersecurity, as he talks to FINRA's Mike Rote about what his team does to combat threats and tips you can use in your life to be cyber secure. Watch: Listen: by FINRA Unscripted