22 min listen
Encore | At, By or Through: Fraud in the Broker-Dealer Industry
FromFINRA Unscripted
ratings:
Length:
33 minutes
Released:
Dec 14, 2021
Format:
Podcast episode
Description
This episode originally aired in April 2021. The brokerage industry has an important role to play when it comes to detecting, preventing and reporting fraud. It's not just a regulatory concern, but an important reputational concern for individual firms and the industry as a whole. On this episode, we hear from Greg Ruppert, who was then head of FINRA's National Cause and Financial Crimes Detection Programs, but now heads Member Supervision, about recent trends in the fraud space and how firms can work to protect themselves and their customers.Resources mentioned in this episode:FTC Scam AlertsFBI Fraud ResourcesIC3 Annual ReportsEpisode 60: Introducing Greg Ruppert and the NCFCEpisode 71: Overlapping Risks, Part I: AML and CybersecurityEpisode 73: Overlapping Risks, Part II: AML and Elder Financial Exploitation
Released:
Dec 14, 2021
Format:
Podcast episode
Titles in the series (100)
The Annual Priorities Letter: A Fresh Take: 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. by FINRA Unscripted