Podcasts about risk monitoring

As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity. The 2025 FINRA Regulatory Oversight Report provides just that: Critical insights to help firms strengthen their compliance and protect investors.On this episode, hosted by Member Relations and Education Vice President Kayte Toczylowski, FINRA's regulatory leaders— Executive Vice President and Head of Member Supervision Greg Ruppert, Executive Vice President and Head of Market Regulation and Transparency Services Stephanie Dumont, and Executive Vice President and Head of Enforcement Bill St. Louis—join us to dive into the report's takeaways and insights for member firms.Resources mentioned in this episode:2025 Regulatory Oversight ReportSEC Regulation Best Interest (Reg BI)5310. Best Execution and InterpositioningReg Notice 20-31: FINRA Reminds Firms of Their Supervisory Responsibilities Relating to CATInvestor Insights: Artificial Intelligence (AI) and Investment FraudEpisode 168: Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals Find us: X / YouTube /LinkedIn / Facebook / E-mail

As we continue to monitor and review the latest healthcare news, we are always pleased when word of a new study comes to our attention – especially when the study is within the purview of MDaudit.During the next live edition of Monitor Mondays, the CEO for MDaudit, Ritesh Ramesh, will report the latest results of a new national study – and how the salient takeaway points could help you and your team as you grapple with the dynamic environment of America's healthcare system.Broadcast segments will also include these instantly recognizable features:• Monday Rounds: Dr. Ronald Hirsch, vice president of R1-RCM, will be making his Monday Rounds.• The RAC Report: Healthcare attorney Knicole Emanuel, partner at the law firm of Nelson Mullins, will report the latest news about auditors.• Legislative Update: Cate Brantley, a senior government affairs liaison for Zelis, will report on current healthcare legislation.• Risky Business: Healthcare attorney David Glaser, shareholder in the law offices of Fredrikson & Byron, will join the broadcast with his trademark segment.

Last summer, we introduced listeners to FINRA' Crypto Hub and enterprise-wide strategy for keeping up with the evolving crypto asset regulatory landscape. A year later, this remains an important area of focus for investors, the industry and FINRA. On this episode, Jamie Udinson, senior director of the Cyber and Analytics Unit, Michael Yuan, a director with FINRA's Risk Monitoring program, and Jason Stralka, an examination manager with the Exam program, join us to provide an update on FINRA's crypto asset work, to dig into the results of a recent survey of member firms regarding their crypto-asset touchpoints, to tell us about the new spot Bitcoin ETP market and more.Resources mentioned in this episode:2024 Regulatory Oversight Report: Crypt Asset DevelopmentsCrypto Assets Key Topic PageEpisode 136: An Introduction to FINRA's Crypto Asset Work and the Crypto HubEpisode 137: The Crucial Role of FINRA's CAI TeamEpisode 138: FINRA's Blockchain LabEpisode 145: An Update on FINRA's Crypt Asset Targeted Exam Find us: X / Facebook / LinkedIn / E-mail

In late May, certain amendments to FINRA's margin rule, Rule 4210, went into effect to address a significant source of potential systemic risk and risk to FINRA member firms. The amendments introduced specific margin requirements related to covered agency transactions. On this episode, we talk to David Aman, senior advisor, and James Barry, director of Credit Regulation, both with FINRA's Office of Financial and Operational Risk Policy, and with Michael MacPherson, a senior advisor with Member Supervision's Risk Monitoring team, to learn more about the purpose of the rule, which firms might be impacted by the change and what those firms need to think about to ensure compliance with the amended rule. Resources mentioned in this episode:Contact: coveredagencymargin@finra.orgKey Topics: MarginFAQs Regarding Covered Agency Transaction Margin under FINRA Rule 4210Reg Notice 23-14: Amendments to Covered Agency Transaction Requirements Under FINRA Rule 4210 Find us: X / Facebook / LinkedIn / E-mail

Senior investor protection has long been a priority for FINRA, and the Vulnerable Adults and Seniors Team (VAST) is at the forefront of FINRA's efforts in this space. On this episode, we hear from Brooke Hickman, Director of the Vulnerable Adults and Seniors Investigative Team, Mike Paskin, a manager with VAST Investigations, and Liz Yoka, a manager of the VAST Intake team, to hear how the groups work with individual investors, firms, states and other regulators to prevent and detect financial exploitation of senior and other vulnerable investors.Resources mentioned in this episode:2024 Annual Regulatory Oversight ReportEpisode 72: Anti-Money Laundering and Elder ExploitationEpisode 128: The 2023 Senior Investor Protection ConferenceEpisode 105: The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512FINRA Securities Helpline for Seniors – 844-57-HELPS (844-574-3577)FINRA Key Topic Page: Senior InvestorsFAQ Regarding FINRA's Rules Relating to Financial Exploitation of SeniorsTrusted Contact Infographic

On May 28th, U.S. markets are moving to a one-day settlement cycle, familiarly known as T+1. This move, which returns the settlement time frame back to a point at which it last stood a century ago, will have wide ranging impacts for firms, investors and regulators. On this episode, we hear from James Barry, Director of Credit Regulation with FINRA's Office of Financial and Operational Risk Policy, Bobby Gomez, a Senior Director with Market Regulation and Transparency Services' Strategic Initiatives team, Mike MacPherson, a Senior Advisor in Member Supervision's Risk Monitoring group, and John Nachmann, Associate General Counsel with the Office of General Counsel's Regulatory Practice, to discuss what all market participants need to be thinking about and testing ahead of the transition.Resources mentioned in this episode:Episode 127: Understanding the Unique Risks of Every FirmDTCC: The Key to T+1 Success BlogReg Notice 23-15: Regulation T and SEA Rule 15c3-3 ExtensionTechnical Notice: T+1 Settlement TestingFINRA Margin RegulationFINRA Investor Insight: Understanding Settlement Cycles2024 Annual Regulatory Oversight Report

In E61, co-hosts Mike Boland and Charles Laughlin discuss Chatmeter's latest innovation: Risk Monitoring.  This groundbreaking AI technology scans reviews and social media to pinpoint potential crises before they escalate. Chatmeter's Risk Monitoring has transformed their approach to risk mitigation in the hyper-digital era, reshaping the future of reputation management and helping businesses navigate the complexities of online presence with confidence This Week in Local is a Localogy production. To learn more, please visit Localogy.com. Would you like to recommend a guest, ask a question, or sponsor an episode? Start a conversation at podcast@localogy.com.

Generative Artificial Intelligence (AI) and large language models (LLM) are taking the world by storm, presenting numerous opportunities to create business efficiencies. While the new technologies offer many potential benefits to firms, regulators and investors, they also introduce unique risks. On this episode, we hear from Brad Ahrens, senior vice president of Advanced Analytics, Andrew McElduff, vice president with Member Supervision's Risk Monitoring team and Haime Workie, vice president and head of FINRA's Office of Financial Innovation, who are closely looking at these technologies and following developments in this space to learn how FINRA is looking at and thinking about generative AI when it comes to its own business and what it's looking at and seeing when it comes to firm use of these tools.Resources mentioned in this episode:Artificial Intelligence (AI) in the Securities IndustryArtificial Intelligence (AI) and Investment FraudReg Notice 21-19: Obligations Related to Outsourcing to Third-Party VendorsRule 3110: Supervision2024 FINRA Annual Regulatory Oversight Report2023 Executive Order on Artificial Intelligence for CongressNIST: Artificial Intelligence

FINRA Enforcement works tirelessly on the front lines of investor protection, whether looking into cases of fraud or ways that bad actors try to manipulate the markets. This tremendous undertaking demands steadfast leadership. On this episode, we meet Bill St. Louis, the former head of FINRA's National Cause and Financial Crimes Detection Program and FINRA's new Executive Vice President and Head of Enforcement, to learn more about the man at the helm and what's on the horizon for Enforcement in the new year.Resources mentioned in this episode:2024 FINRA Annual Regulatory Oversight ReportFINRA Enforcement HomepageFINRA Names Bill St. Louis as New Head of EnforcementFINRA Fines BofA Securities $24 Million for Treasuries SpoofingFINRA Expels Monmouth Capital ManagementQualification Exams

As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity, and no single resource is a better example of that than FINRA's Annual Regulatory Oversight Report. On this episode, Ornella Bergeron, Senior Vice President of Risk Monitoring, Omer Meisel, Executive Vice President of the National Cause and Financial Crimes Detection Program, Claire O'Sullivan, Vice President and Regulatory Advisor of Stakeholder Engagement, and Michael Solomon, Senior Vice President of Examinations, join us to discuss highlights from the 2024 report.Resources mentioned in this episode:2024 FINRA Annual Regulatory Oversight ReportReg Notice 23-20: Guidance and Resources Related to Regulation Best InterestReg Notice 23-11: Concept Proposal for a Liquidity Risk Management RuleReg Notice 21-35: Proposed Order Routing Disclosure RequirementsSEC FAQ on Form CRSCAT NMS Plan WebsiteEpisode 136: An Introduction to FINRA's Crypto Asset Work and the Crypto HubEpisode 137: The Crucial Role of FINRA's CAI TeamEpisode 138: FINRA's Blockchain LabEpisode 129: A New Twist on New Account Fraud

Jeffrey Wheatman is the SVP, Cyber Risk Evangelist at Black Kite. In this episode of Hidden Risk, he joins host Heather Engel to discuss risk monitoring in the digital ecosystem, including some of the biggest gaps in the market today, how consumers and suppliers are affected, and more. An award-winning intelligence platform, Black Kite is disrupting traditional third-party risk management practices worldwide by providing cybersecurity experts with full visibility they've never experienced before. Learn more about our sponsor at https://blackkite.com.

As the crypto asset space has grown, FINRA has evolved its oversight of the crypto asset activities of FINRA member firms and their associated persons. In this second episode of a three-part series covering FINRA's crypto asset-related regulatory work, we hear from Jamie Udinson, Senior Director of the Crypto Asset Investigations team, Taylor Etzell, a Senior Principal Investigator, and Jason Foye, Senior Director and head of FINRA's Crypto Hub, who provide insight into FINRA's Crypto Asset Investigations Team. We learn more about this dedicated group of investigators specializing in conducting complex crypto asset investigations and the crucial role it plays in ensuring compliance with existing rules and regulations in the crypto asset space.Resources mentioned in this episode:Episode 71: Overlapping Risks, Part 1: Anti-Money Laundering and CybersecurityEpisode 72: Overlapping Risks, Part 2: Anti-Money Laundering and Elder ExploitationEpisode 117: Membership Application ProgramEpisode 136: An Introduction to FINRA's Crypto Asset Work and the Crypto HubRule 3270: Outside Business Activities of Registered PersonsRule 3280: Private Securities Transactions of an Associated PersonFINRA Blog: An Inside Look into FINRA's Crypto Asset Work

Get ready for an eye-opening conversation with Sanjay Saini, the founder and CEO of Privaini, a groundbreaking privacy tech company. Sanjay's journey is not only impressive due to his role in creating high-performance teams that have built entirely new product categories, but also for the invaluable lessons he learned from his grandfather about the pillars of successful companies - trust and human connections. In our discussion, Sanjay shares how Privaini is raising the privacy bar by constructing the world's largest repository of company privacy policies and practices. It's a fascinating dive into the future of privacy risk management.Imagine being able to gain full coverage of your external privacy risks with continuous monitoring. Wouldn't that revolutionize your approach to risk management? That's exactly what Privaini is doing! Sanjay explains how Privaini utilizes AI to analyze, standardize, and derive meaningful "privacy views" and insights from vast volumes of publicly-available data. Listen in to understand how Privaini's innovative approach is helping companies gain visibility into their entire business network to make quicker, more informed decisions. Topics Covered:What motivated Sanjay to found companies that bring trusted systems to market and why he founded Privaini  to  focus on continuous privacy risk monitoringHow to quantitatively analyze & monitor privacy risk throughout an entire 'business network' and what Sanjay means by 'business network'Which stakeholders benefit from using the Privaini platformThe benefits to calculating a "quantified privacy risk score" for each company in your business network to effectively monitor privacy riskHow Privaini leverages AI to discover external data about companies' privacy posture and why it must be used in a responsible and deliberate wayWhy effective privacy risk monitoring of a company's business network requires an “outside-in” approachThe importance of continuous monitoring & the benefits to using an 'outside-in' approachWhat it takes to set up an enterprise's network with Privaini for full coverage of external privacy risksThe recent Criteo fines and how Privaini could have helped Criteo surface privacy risks about its vendorsWhy Sanjay believes learning about the “right side” of the equation is necessary in order to "shift privacy left."Guest Info:Connect with Sanjay on LinkedInLearn more about Privaini Privado.ai Privacy assurance at the speed of product development. Get instant visibility w/ privacy code scans.Shifting Privacy Left Media Where privacy engineers gather, share, & learnDisclaimer: This post contains affiliate links. If you make a purchase, I may receive a commission at no extra cost to you.Copyright © 2022 - 2024 Principled LLC. All rights reserved.

FINRA's Examination team carries out a core function of FINRA's business by examining every member firm at least every four years and as often as annually, depending on the risk profile of each individual firm. These exams ensure firms remain in compliance with FINRA rules and federal securities laws and regulations and are at the heart of FINRA's mission of investor protection and market integrity. On this episode, Michael Solomon, Senior Vice President of Examinations, Nicole McCafferty, Vice President of the Retail Exam Firm Group, and Joe Sheirer, Vice President of the Office of Exams, join us for a deep dive into how the program works and what firms can expect during routine firm exams.Resources mentioned in this episode:Episode 127: FINRA's Risk Monitoring ProgramEpisode 60: National Cause and Financial Crimes Detection ProgramsReg Notice 23-08: Selling Private Placements2023 Report on FINRA's Examination and Risk Monitoring Program

Each year, FINRA hosts its Annual Conference in Washington, D.C. It is an event packed full of panels with information on all the latest compliance trends and emerging regulatory issues, with a number of networking opportunities spread across the three-day event. On this episode, we're taking you behind the scenes of this year's Annual Conference to listen in on a conversation between FINRA President and CEO Robert Cook and the Chair of the FINRA Board of Governors, Eric Noll.Resources mentioned in this episode:2023 FINRA Annual Conference2024 FINRA Annual Conference RegistrationFINRA Board of GovernorsEric Noll Biography

Litigation economics is not something they teach in most schools, but when it comes to unique or first of their kind enforcement matters, it's an important skill to have, whether it be in establishing sampling methodologies, the creation of a benchmark or development of restitution frameworks. On this episode, we hear from Chris Kelly, acting Head of Enforcement, and Lori Walsh, Vice President of the Office of the Chief Economist, about how FINRA's Enforcement team has been partnering up with the Office of Regulatory Economics and Market Analysis to ensure better case outcomes.Resources mentioned in this episode:Episode 124: Introducing REMAEpisode 77: How an Enforcement Action Becomes an Enforcement ActionOffice of the Chief EconomistFINRA EnforcementMonthly Disciplinary Actions

An innovative marketing and analytics platform, Black Kite fills a fundamental security gap by making it simple for businesses to non-invasively quantity and monitor cyber risk across thousands of third parties. With its advanced AI algorithms and predictive modeling capabilities, Black Kite provides intelligence from a technical, financial, and compliance perspective, consequently eliminating false positives and ensuring a holistic approach to vendor risk management. For more info, visit https://blackkite.com

In recent months, FINRA has published two Regulatory Notices regarding the fraudulent transfer of customer accounts using an automated system called ACATS. On this episode, we'll hear all about what goes into the creation of a Reg Notice and take a deep dive on this particular issue. Plus, we'll hear about some information that didn't make it into the most recently published Notice.FINRA Unscripted welcomes three new guests, Chris Hunter, Principal Analyst with Risk Monitoring, Emily Kahn, Principal Intelligence Specialist with the Financial Intelligence Unit, and Lindsey Barnett, Senior Principal Investigator with the Special Investigations Unit, to talk about Regulatory Notices 23-06 and 22-21.Resources mentioned in this episode:Reg Notice 23-06: FINRA Shares Effective Practices to Address Risks of Fraudulent TransfersReg Notice 22-21: FINRA Alerts Firms to Recent Trend in Fraudulent Transfers of AccountsReg Notice 21-18: Practices Used to Protect Customers From Online Account Takeover AttemptsReg Notice 20:32: FINRA Reminds Firms to Be Aware of Fraudulent Options TradingRule 11870: Customer Account Transfer ContractsBSA E-filing SystemEpisode 127: FINRA's Risk Monitoring Team

In March, FINRA hosted the Senior Investor Protection Conference, a one-day event dedicated to sharing the most up-to-date regulatory information, effective strategies and solutions for protecting senior and other vulnerable investors from exploitation. On this episode, we're taking an abridged look at one of the conference sessions on the various trends, scams and schemes currently impacting investors. Brooks Brown, Senior Director of FINRA's High-Risk Representative Unit, moderates the conversation with Amy Nofziger, Director of Victim Support for the AARP's Fraud Watch Network, Mayur Patel, Senior Principal Intelligence Specialist with FINRA's Financial Intelligence Unit, and Elizabeth Yoka, a Manager with FINRA's Vulnerable Adults and Seniors team.Resources mentioned in this episode:FTC Romance Scam DataAARP Helpline InfoAARP Fraud Watch NetworkThe Perfect Scam AARP PodcastFINRA Key Topic Page: Senior InvestorsReg Notice 22-25: Heightened Threat of Fraud in Small Cap IPOsReg Notice 22-05: Amendments to FINRA Rule 2165NASAA Senior WebsiteFINRA Conferences & EventsFINRA Securities Helpline for Seniors

FINRA's Risk Monitoring team is responsible for assessing financial, operational and business conduct risks that exist within individual member firms and across the industry. But they're also the day-to-day point of contact for firms for any questions they may have for FINRA. On today's episode, we're talking to Ornella Bergeron, Senior Vice President of Member Supervision's Risk Monitoring team, Brian Kowalski, Vice President of Diversified and Carrying & Clearing with the Risk Monitoring team, and Andrew McElduff, Vice President of Retail with Risk Monitoring learn more about the team's mandate and work and why they're such a resource for the member firms they work with.Resources mentioned in this episode:Reg Notice 22-25: FINRA Alerts Firms to Recent Trend in Small-Cap IPOsReg Notice 22-29: FINRA Alerts Firms to Increased Ransomware Risks15a-6 Chaperone Firms (from 2021 Exam and Risk Monitoring Report)Episode 90: Single Points of AccountabilityFINRA GatewayFINRA Examination and Risk Monitoring Programs

The best tool FINRA provides when it comes to firms developing their annual compliance program is now available. The 2023 Report on FINRA's Examination and Risk Monitoring Program provides key insights and observations on two dozen key regulatory topics, making it a must-read for compliance professionals. On this episode, Ornella Bergeron, Senior Vice President of Risk Monitoring, Michael Solomon, Senior Vice President of Examinations, and Bill St. Louis, Executive Vice President of the National Cause and Financial Crimes Detection Programs (NCFC), join us to dig into some of the new and noteworthy topics in the latest report. Resources mentioned in this episode:2023 Report on FINRA's Examination and Risk Monitoring ProgramEpisode 112: Introducing FINRA's Complex Investigations and Intelligence Team and Cyber and Analytics UnitEpisode 71: Overlapping Risks, Part 1: Anti-Money Laundering and Cybersecurity

The festive season is here. Are you looking for the perfect gift for the compliance professional in your life? Look no further. On this episode, Kayte Toczylowski, FINRA's vice president of Member Relations and Education, joins us to share the top five FINRA tools and resources, or gifts, if you will, that you will want to make sure you are aware of and be sure to share with all of your colleagues.Resources mentioned on this episode: FINRA Compliance ToolsFINRA NoticesFINRA Targeted Exam Letters (aka Sweeps)FINRA Conferences & EventsFBI Cyber Threat Briefing SeriesMachine-Readable Rulebook InitiativeFINRA Advisory CommitteesFINRA Committee Indication of Interest FormHave questions? Email: Membership@finra.org

The cross-border movement of animal pathogens can lead to dramatic social and economic consequences. Therefore countries implement prevention measures (e.g. surveillance, border controls and trade restrictions) to reduce the probability of entry of new pathogens. However, resources available for such risk mitigation measures are limited, especially considering the large number of potential source areas and different pathways of entry of the pathogens. We propose a simple and easy-to-use tool to monitor the risk of introduction of foot and mouth and similar transboundary (FAST) animal diseases (Peste des Petits Ruminants, Lumpy Skin Disease, Rift Valley Fever, Sheep and Goat Pox) with the aim of assisting health authorities to identify the most likely routes and source countries for the introduction of these diseases.

We would like to share with you the first discussion “A time of reflection on current global development - Towards a new paradigm of the global financial ecosystem” from the 6th edition of the Finweek Bratislava 2022 conference, held in Hubhub Bratislava on 20-22 September. We are grateful for the time and effort all panelists took to share their thoughts and experiences with us, which was very important for the success of this conference: ☛ Petia Niederländer (AT), Director Payments, Risk Monitoring and Financial Literacy, Austrian National Bank ☛ Anikó Szombati (HU), Executive Director for Digitalization, Central Bank of Hungary ☛ Jonas Gross (DE), Chairman, Digital Euro Association ☛ Marcus Härtel (DE), Market Infrastructure Expert, European Central Bank ☛ Martin Bruncko (SK), Executive Vice President for Europe, Binance ☛ Peter Palus (SK), Head of Financial Unit at Permanent Representation of Slovakia to the European Union Moderator ☛ Johan Winbladh (SE), Associate Professor at City University of Seattle

Spyridon Antonopoulos is Director of Solutions Architecture at Solidus Labs, providing trade surveillance, transaction monitoring, and threat intelligence to corporates. In this episode, Spiro discusses how the insurance life cycle can begin to cover crypto assets, for example using photo and video evidence as part of the risk assessment and claims process.  Spiro has experience in the Life, Annuities, and Long Term Care insurance verticals, spending the first decade of his career advising senior leadership at many of the Top-100 North American carriers across new business, underwriting, and claims.  Follow the Insurtech Leadership Podcast airing weekly hosted by Joshua R. Hollander. We give you up-close access and personal insights from the leaders of the fastest-growing #insurtechs and most innovative #insurance carriers and brokers.

Welcome back to the Compliance in Context Podcast! On this episode of the Compliance In Context Podcast, we explore the hidden nuances and key differences in the new 2022 Report on FINRA’s Examination and Risk Monitoring Program with Susan Schroeder—former head of enforcement at FINRA and current partner at Wilmer Hale—who sits down with us to review the report and its impact on compliance professionals everywhere. In our Headlines section, we look at the recently released annual priorities issued by the SEC Division of Examinations. And finally, we’ll wrap up today’s show with another installment of History Has Your Back series where we look at the legendary kung fu martial artist, Bruce Lee, and a quote to help inspire you and provide peace of mind for the securities compliance professional. Show Headlines 1:14: Digesting the Annual Priorities from the SEC Division of Examination Interview with Susan Schroeder 7:38: Introduction & General Remarks on the 2022 FINRA Report 11:27: “Reasonableness” and Testing AML Programs 16:16: Tackling Cybersecurity and Technology Governance 23:30: Mobile Devices and Investing 32:13: How Best Execution Standards are Changing 37:21: Challenges Surrounding Trusted Contact Information History Has Your Back 45:43: Using Bruce Lee’s words as inspiration to elevate our firms and provide peace of mind Quotes 09:45: “On a really high level, my reaction to the report when I read it was that the report reflects the enormous amount of innovation and disruption that is rippling throughout the industry. Right? I think we’ve all heard a lot about new business models through fin-tech businesses for example, that are changing the way people invest. Changing the shape of investment relationships.” - Susan Schroeder 10:20: “One of the things you can also see emerging is the fact that FINRA’s rules are not written for the way business is done today and some of their observations and some of their priorities really reflect a disconnect between rules that might be seventy years old and practices that are very 2022.” - Susan Schroeder 12:16: ““I think now though, a lot of the challenge you’ll see across the industry is that the industry has room. Right? With the proliferation of new technologies, with people doing app-based trading on their phones, you’ll see events like the Gamestop event last year where the amount of trading that is done in a single day just eclipses previous records.” - Susan Schroeder 17:02: “I think, the fact that we talk about technology governance as if it’s a known thing is already a big indicator that your firm should be worried because that is a framework to exist. Right? No one was talking about that, even, for years ago. And this notion of technology governance is that the business is obligated to supervise the technology. Right? I think it’s a new concept and one that has not been well built-out by the regulators.” - Susan Schroeder 26:57: “The mobile app gives everybody access to…real time information. It is funny to me that t

In February, FINRA issued its second Report on FINRA's Examination and Risk Monitoring program, a comprehensive document that combines elements of what used to be the annual Priorities Letter and the Examination Findings Report. The report can serve as a reference document, addressing more than 20 topics of interest for firms and regulators from Regulation Best Interest and Form CRS to cybersecurity and mobile apps. On this episode, J Koutros, vice president of risk monitoring standards, Joe Sheirer, vice president of the examination program, and Steve Polansky, senior director of special initiatives, join us to talk about the report, some key highlights and how firms can use this extensive document. Resources mentioned in this episode:2022 Report on FINRA's Examination and Risk Monitoring ProgramEpisode 79: Year in Review: The 2020 Exam and Risk Monitoring ProgramEpisode 80: Exam and Risk Monitoring Program: Responding to COVID-19 and Looking Ahead2022 FINRA Annual Conference

In this special 4-part series, Managing Supplier ESG Risk, produced by Art of Procurement in partnership with Dun & Bradstreet, Host Philip Ideson is joined by Brian Alster, General Manager of Finance and Risk Solutions, and Rochelle March, Head of ESG Product, both at Dun & Bradstreet. They dig into the emerging imperative for procurement to understand the ESG (or Environmental, Social, and Governance) profiles of their suppliers, and provide actionable tips and recommendations on how to manage ESG in the context of broader supplier and supply chain risk management.

Greg Ruppert joined FINRA in 2020 to form and lead the National Cause and Financial Crimes Detection Programs. Now, he's been tapped to lead Member Supervision, the team responsible for the surveillance and examination of FINRA member firms and for detecting and deterring activities that can cause investor harm. On this episode, we talk to Greg about how he views this transition in leadership and his goals and areas of focus in his new role.How are we doing? Take the FINRA Unscripted survey today. Resources mentioned in this episode:2022 Report on FINRA's Examination and Risk Monitoring ProgramEpisode 60: Introducing Greg Ruppert and the National Cause and Financial Crimes Detection ProgramsEpisode 86: FINRA's Financial Intelligence Unit: Connecting the Dots2021 Report on FINRA's Examination and Risk Monitoring ProgramPLI Podcast: Focus on FINRA Enforcement with Jessica HopperFINRA's Upcoming Conferences and Events

The International Risk Podcast is a weekly podcast for senior executives, board members and risk advisors.  In these podcasts, we speak with risk management specialists from around the world.  Our host is Dominic Bowen, originally from Australia, is one of Europe's leading international risk specialists.  Having spent the last 20 years successfully establishing large and complex operations in the world's highest risk areas and conflict zones, Dominic now joins you to speak with exciting guests from around the world to discuss risk.The International Risk Podcast – Reducing risk by increasing knowledgeFollow us on Facebook, Twitter, Instagram, and LinkedIn for all our great updates.Today is Harriet Tyler's second interview with Dominic Bowen, and they are discussing risk, climate change, diversity, and risk awareness. Dominic is an experienced leader and risk professional. With 20 years' experience specialising in operational resilience and risk management, he leads and manages global risk-remediation across various industries and sectors. He has helped teams around the world plan for and respond to high-impact events, including cross-border crises, change management, natural disasters, and geopolitical turmoil. He has successfully supported countless organisations design and implement operational resilience programs and enterprise risk management frameworks.Dominic has extensive international experience establishing high quality operational systems and structures in Yemen, Bangladesh, Pakistan, Indonesia, Iraq, Timor-Leste, Thailand, Tonga, Solomon Islands, Afghanistan, Philippines, Turkey, Syria, Lebanon, Jordan, Haiti, Liberia, and Nepal.  Dominic is extremely well-versed in risk controls, resilience, governance, and compliance requirements.Dominic has a Diploma in Public Safety, a Diploma in Security and Risk Management, a Diploma of Management, a Master's Degree in International Relations, and currently finalizing a Master of International Law.  Connect with Dominic on LinkedIn.Thank you for listening to another International Risk Podcast.  Do you know someone who would like to listen to this episode?  Share it with them now.Connect with us on LinkedIn here  The International Risk Podcast: LinkedInThank you for listening.

In the inaugural episode of I Pledge Allegiance, a podcast about crypto governance, host Derek Hsue chats with Nick Cannon from Gauntlet and Getty Hill from GFX Labs. Nick leads Growth at Gauntlet, and Getty is a long-time Compound contributor and active governance participant. The focus of this episode is Gauntlet's recent "Dynamic Risk Monitoring" proposal for Compound and how they see their role managing and monitoring risk for major DeFi protocols. Additionally, we compare existing approaches to risk management, as well as lessons on creating products and services for DAOs. Show notes and links included below. ---- Dynamic Risk Monitoring Proposal: https://www.comp.xyz/t/dynamic-risk-parameters/2223/1 ---- Follow us on Twitter: @derek_hsue | @inkymaze | @getty_hill ---- Show Notes: (3:00) - Why is risk monitoring important for DeFi and Compound? What does it entail? (5:45) - What is Gauntlet's "Dynamic Risk Monitoring" proposal? (7:19) - How Gauntlet thinks about its role determining risk levels and preferences. (10:28) - Getty's thoughts on the Dynamic Risk Monitoring Proposal, and where he thinks it could improve (19:23) - On the possibility of Gauntlet as an early warning system for risk monitoring (25:09) - Getty on the difference between risk management Compound, Aave, and Cream (27:12) - How does Gauntlet think about its position working for both Compound and Aave (34:04) - Defining “Value at Risk” For Compound (37:10) - How Gauntlet designed the service fee (46:26) - How does B2DAO sales differ from the traditional B2B sales process? (50:00) - What other things should protocol treasuries spend money on? (55:00) - On the big hurdles and problems in governance-based contribution today.

In this episode we discuss the use of risk/performance indicators.These can be used by audit teams, risk teams and integrity agencies.For audit teams, they are useful throughout the audit lifecycle - planning / risk assessment, fieldwork / conduct and reporting.We explore why they are useful, what to do and briefly how to get started.This page (riskinsights.com.au/the-assurance-show-46) contains an example of a dashboard that brings risk indicators together. Link:  This episode's web page (riskinsights.com.au/the-assurance-show-46)About this podcast The podcast for performance auditors and internal auditors that focuses on data & risk.Hosted by Conor McGarrity and Yusuf Moolla. Produced by Risk Insights (riskinsights.com.au). 

In today's podcast, Dominic is interviewed by Harriet Tyler.  She asks Dominic questions about how he has managed risks in Yemen, Iraq, and Haiti, and how risks differ between countries and the sort of risk considerations that all people and companies should be considering, even when travelling to relatively safe places like London or Frankfurt.  This is a really fun conversation and provides some great insights into risk, risk management, and duty of care.Dominic is an experienced leader and risk professional. A member of the Swedish Risk Management Association, Dominic has been establishing successful operations in some of the world's most challenging environments. He is well-versed in risk controls, resilience, governance, compliance, and enterprise risk management.  Dominic now leads the international operations team at Europe's leading risk consultancy company.  You can see more information about Dominic on The International Risk Podcast website and on LinkedIn. The International Risk Podcast is a weekly podcast for senior executives, board members and risk advisors.  In these podcasts, we speak with risk and compliance specialists from around the world. The International Risk Podcast – Reducing risk by increasing knowledgeFollow us on Facebook, Twitter, Instagram, and LinkedIn for all our great updates.Thank you for listening to another International Risk Podcast.  See you again next week.

Welcome to a multi-part podcast series, Smart Automation for Risk Management, sponsored by Lextegrity Inc. Over the course of this series we will be visiting with Parth Chanda, Founder and Chief Executive Officer (CEO), Andy Miller, Chief Analytics Officer, and Kara Bonitatibus, Head of Product. We are reviewing the Lextegrity Product Suite, taking a deep dive into continuous risk monitoring, considering pre-approvals and third-party due diligence and integrations and user experience. In a special bonus episode, Chanda and I will discuss the Integrity and Analytics Collective. In Episode 3, I conclude my two-part visit Miller about risk monitoring with data analytics.  We began with the Department of Justice’s (DOJ) 2020 Update to the Evaluation of Corporate Compliance Programs, (2020 Update), which mandated for the first time that compliance practitioners and the corporate compliance function have access to a company’s data lakes. Miller believes the DOJ 2020 Update has really been an eye opener for a lot of risk professionals and companies out there that they “need to do better.” Compliance professionals should have access to their own data as risk professionals, they need to have a plan and an actual program to monitor their company’s data. This works directly on the first two prongs of any compliance program; to prevent and detect actions which could be fraudulent, corrupt such as bribery, or other actions which could put your company in danger. This is even more true in 2021 as the DOJ is ramping up their enforcement efforts. Lextegrity provides a continuous monitoring solution that provides compliance and audit teams with a comprehensive way to keep a pulse on transactional spend and revenue risk.  Miller emphasized the key is that your continuous monitoring solution should be flexible and curable to your specific company. The Lextegrity platform provides analyses that are broken out in a variety of areas to look for specific types of risk in that general risk-based area. It allows you to identify transactions that could be associated with some wrongdoing like bribery, corruption or fraud. However, what many compliance professionals struggle with is separating the wheat from the chaff. In other words, they are bogged down in the details of a transaction such as gifts, travel and entertainment (GTE) spend, lack of approvals on discounts or third-party issues and do not have the ability to step back and look at a bigger picture.  We concluded by considering what connecting all these dots might look like. Miller said that by  “connecting the dots of risk you start to see other things happen, you catch an exception in this area and now you say, well, so-and-so was a major part of that. Let’s see what else they’ve touched in this area or looking at the cross impact between employee spend and vendor spend, and then be on that in the compliance space”. You can also cross-reference hotline reports, due diligence metrics, audit reports, training completion data and indeed “all this other program information that compliance has a hand into that can feed into this transactional data.” It can truly provide to you the broadest look at your compliance risk. Join us tomorrow where we explore pre-approvals and third-party due diligence with Kara Bonitatibus.  For more on Lextegrity, check out their website here.  Texas Tax rate at 80% of 8.25%

Welcome to a multi-part podcast series, Smart Automation for Risk Management, sponsored by Lextegrity Inc. Over the course of this series, we will be visiting with Parth Chanda, Founder and Chief Executive Officer (CEO), Andy Miller, Chief Analytics Officer, and Kara Bonitatibus, Head of Product. We will look at the Lextegrity Product Suite, take a deep dive into continuous risk monitoring, consider pre-approvals and third-party due diligence and integrations and user experience. In a special bonus episode, Chanda and I will discuss the Integrity and Analytics Collective. In Episode 2, I begin a two-part exploration Miller about risk monitoring with data analytics. We began with a discussion about what a continuous monitoring solution is. Miller said that it “provides compliance and audit teams with a comprehensive way to keep a pulse on transactional spend and revenue risk in their enterprise.” The Lextegrity application “features a library of dozens of prebuilt risk data analytics across a spectrum of focuses. We have risk-based statistical behavioral and policy-based, but really the key to our analytics is they are so configurable and contextual to your specific risks or your lines of business or the historical issues that your organization may have had so that the risk algorithm is actually tailored to your business and your exposure and not, um, some static configuration.” It can connect to a wide variety of EPR systems such as SAP, Oracle, Concur, Workday and others. The Lextegrity approach is different as it is focused on prioritizing your efforts within this monitoring of spend and revenue data, seeing the full context of the transaction and its risk results altogether, so that you can focus on the risk of that as a whole. It also is more risk focused and less control focus. Miller related that the Lextegrity “scoring algorithm is calculated at an aggregated level across multiple analytics to help you cut on the false positives and the noise as well as to then better prioritize your transactions in line with risk parameters that you set.” The solution connects with our approval workflows, our pre-approval tool, as well as workloads within this specific tool, enabling specific analytics, such as validating your approved amounts, against your actual amounts and those people that you actually said you were going to pay is who you paid. The Lextegrity solution can also take your third-party due diligence results and increase the risk scores of transactions with “high risk-third parties, as well any low risk third parties which are showing up in high-risk expense categories, beyond transactional risk scoring and highlighting the higher risk transactions for further review.” All of this allows the compliance professional to go “in and actually explore your data with that augmented risk detail and drill into different dimensions of your data, maybe geographic, maybe a subject, or a specific subject type or that spend nature.” All down into the actual transactional level of data. Join us tomorrow where I continue my exploration of continuous risk monitoring with Miller. For more on Lextegrity, check out their website here. Texas Tax rate at 80% of 8.25%

Last year, as FINRA staff looked to adjust to a new exam and risk monitoring program structure, the industry and the world was struck with an unprecedented global crisis. On this episode, the second in a two-part series, we hear from Ornella Bergeron, senior vice president of the carrying and clearing and diversified firm groups; Tom Nelli, senior vice president of exams and standards; Bill St. Louis, senior vice president of the retail and capital markets firm groups; and Tim Thompson, senior vice president of the trading and execution firm group on how FINRA adjusted its Exam and Risk Monitoring program in the face of a global pandemic. Then, we turn to the current year to talk about the new 2021 Report on FINRA’s Examination and Risk Monitoring Program to discuss insights on recent exam findings and priorities for the year ahead. Resources mentioned in this episode:Episode 79: Year in Review: The 2020 Exam and Risk Monitoring Program2021 Report on FINRA’s Examination and Risk Monitoring Program

2020 was a year of great change and transition for FINRA’s Exam and Risk Monitoring Program—and the pandemic wasn’t even the start of it. On this episode, the first in a two-part series, we hear from Ornella Bergeron, senior vice president of the carrying and clearing and diversified firm groups; Tom Nelli, senior vice president of exams and standards; Bill St. Louis, senior vice president of the retail and capital markets firm groups; and Tim Thompson, senior vice president of the trading and execution firm group on how the program faired in its first year after a major transformation.Resources mentioned in this episode:Episode 50: What to Expect: The 2020 Exam and Risk Monitoring ProgramEpisode 49: A Career Highlight: Exam and Risk Monitoring Program Transformation UpdateFINRA Announces Senior Leadership Team Under New Examination and Risk Monitoring Program Structure

This episode originally aired in September 2020.Technology is opening up new possibilities when it comes to solving business challenges. And that's important when it comes to optimizing an organization's most valuable limited resource: its people.On this episode, we hear from Member Supervision's new head of Data Analytics and Technology Kerry Gendron to learn how FINRA is augmenting its examination and risk monitoring program and teaching its employees the art of the possible.Resources mentioned in this episode:Episode 67: FINRA’s R&D ProgramEpisode 49: Exam and Risk Monitoring Program Transformation

Natural disasters, trade wars, regulatory pressure, and cybersecurity along with the pandemic all underline the importance of investing in end-to-end supply chain visibility. For technology companies that operate in fast-moving markets and rely on typically long and highly sensitive supply chains spanning multiple countries and continents, visibility is key. It can even make the difference between business success and business failure. The technology supply chain has changed significantly and continues to reverberate with impacts from the COVID-19 crisis. Most analysts agree there is no going back to the old normal. But it’s not all about the pandemic. Today’s logistics professionals are sensitized to monitoring a vast range of different supply chain risks.Together with Shehrina Kamal, Product Director, Risk Monitoring and Timothy Yu, Supply Chain Risk Intelligence Analyst at DHL Resilience360 we talk about how these risks can be mitigated with better supply chain visibility.

We’re joined by Josh Reid, GRC Technology Services Leader at Crowe. He discusses how Crowe is elevating Integrated Risk Management practices, moving beyond questionnaire-driven risk information to more consistent, real-time business data coming directly from business systems; then identifying Key Risk Indicators (KRI) from continuous analysis and monitoring of the data. Crowe is a Platinum Sponsor of RSA Archer Summit, a no-fee event that will be held virtually on October 6, 2020. RSA Archer Suite customers, partners, and prospects are all invited to attend.

We’re joined by Josh Reid, GRC Technology Services Leader at Crowe. He discusses how Crowe is elevating Integrated Risk Management practices, moving beyond questionnaire-driven risk information to more consistent, real-time business data coming directly from business systems; then identifying Key Risk Indicators (KRI) from continuous analysis and monitoring of the data. Crowe is a Platinum Sponsor of RSA Archer Summit, a no-fee event that will be held virtually on October 6, 2020. RSA Archer Suite customers, partners, and prospects are all invited to attend.

Technology is opening up new possibilities when it comes to solving business challenges. And that's important when it comes to optimizing an organization's most valuable limited resource: its people. On this episode, we hear from Member Supervision's new head of Data Analytics and Technology Kerry Gendron to learn how FINRA is augmenting its examination and risk monitoring program and teaching its employees the art of the possible.Resources mentioned in this episode:Episode 67: FINRA’s R&D ProgramEpisode 49: Exam and Risk Monitoring Program Transformation

“Preparing Global Supply Chains for the 2020 Hurricane Season” Supply Chain Now Episode 353 This episode of Supply Chain Now features Shehrina Kamal and Jon Davis. Shehrina Kamal leads Resilience360’s Risk Monitoring function, where she spearheads the solution’s risk identification, monitoring and alerting capabilities. In this capacity, she manages a global team of analysts and is responsible for product development & strategy, intelligence coverage, and strategic partnerships. Shehrina has 11 years of logistics industry experience and a background in international development consultancy and communication. She studied Economics at North South University, Bangladesh and holds an MBA from Mannheim Business School, Germany. Jon Davis is based in Barcelona, Spain. Jon brings over 35 years of experience and is widely considered one of the foremost experts on the impact of weather and climate on global commodities (energy and agriculture) and supply chain logistics. After graduating from the University of Wisconsin-Madison with a degree in meteorology, he spent 18 years on Wall Street in the commodity divisions within Citigroup focusing on risk management in agriculture, energy, and the financial sectors. At the end of Jon’s tenure, he was Chief Meteorologist at Citigroup. At Citigroup, he was recruited by Chesapeake Energy in 2003 and spent 10 years as Chief Meteorologist responsible for monitoring global weather/climate and its impact on energy and agriculture. Since 2014, Jon has been Chief Meteorologist at Riskpulse. In 2015, Jon was given the prestigious Award for the Outstanding Contribution to the Advance of Applied Meteorology at the national AMS (American Meteorological Society) meeting for a distinguished career in applying meteorological and climatological knowledge to the energy, industrial, and agricultural sectors. In 2017, Jon was awarded the Kenneth C. Spengler Award for outstanding vision to advance to role of meteorology in the new energy economy and outstanding leadership of the AMS Energy Committee and its conference. Jon was founding member and first chair of the AMS Energy Committee starting in 2004. Upcoming Events & Resources Mentioned in this Episode: Subscribe to Supply Chain Now: supplychainnowradio.com/subscribe/ Connect with Scott on LinkedIn: www.linkedin.com/in/scottwindonluton/ Connect with Shehrina on LinkedIn: https://www.linkedin.com/in/shehrinakamal/ Connect with Jon on LinkedIn: https://www.linkedin.com/in/jon-davis-6119439/ SCN Ranked #1 Supply Chain Podcast via FeedSpot: tinyurl.com/rud8y9m SCNR to Broadcast Live at AME Atlanta 2020 Lean Summit: www.ame.org/ame-atlanta-2020-lean-summit SCNR on YouTube: tinyurl.com/scnr-youtube 2020 AIAG Supply Chain Summit: tinyurl.com/yx5asq35 Supply Chain Trivia Night: supplychainnowradio.com/supply-chain-trivia/ Key Takeaways from Gartner Supply Chain Top 25 Rankings for 2020 Webinar: tinyurl.com/ybodvlxp Supply Chain Now Listener Survey: forms.gle/76Q2ynmidNdRCgzM7 May 14th Resilience360 Webinar: https://tinyurl.com/y7onfemn Check Out News From Our Sponsors: The Effective Syndicate: www.theeffectivesyndicate.com/blog U.S. Bank: www.usbpayment.com/transportation-solutions Capgemini: www.capgemini.com/us-en/ Vector Global Logistics: vectorgl.com/ APICS Atlanta: apicsatlanta.org Verusen: www.verusen.com/ ProPurchaser.com: tinyurl.com/y6l2kh7g Supply Chain Real Estate: supplychainrealestate.com/ This episode was hosted by Scott Luton. For additional information, please visit our dedicated show page at: www.supplychiannowradio.com/episode-353.

In this episode, Dan is joined by Laurie Schultz, President and CEO at Galvanize, as they talk through their real life experience managing the COVID-19 pandemic. Specifically, Laurie shares how she's keeping open, authentic communication with employees, and how technology is enabling the team at Galvanize to monitoring core business objectives to maintain and optimize operations during this pandemic. 

An effective third-party risk management program has to include robust monitoring and auditing strategies.  This episode is a companion to Episode 129 on creating a third-party risk profile. In this episode, Michael Volkov outlines strategies for monitoring and auditing your third-party population.

“Looking Back: Top 10 Predicted Supply Chain Risk Trends for 2019” Supply Chain Now Episode 287 This episode features Shehrina Kamal and Tim Yu. Shehrina Kamal leads Resilience360’s Risk Monitoring function, where she spearheads the solution’s risk identification, monitoring and alerting capabilities. In this capacity, she manages a global team of analysts and is responsible for product development & strategy, intelligence coverage, and strategic partnerships. Shehrina has 11 years of logistics industry experience and a background in international development consultancy and communication. She studied Economics at North South University, Bangladesh and holds an MBA from Mannheim Business School, Germany. Tim Yu currently resides in Singapore and leads the coverage on international trade, customs, and regulatory policies impacting business operations focusing on the APAC region for multinational clients from the tech, energy and chemicals, automotive and aerospace, retail, consumer, and life sciences and healthcare sectors. Tim publishes special reports and articles on key issues affecting global supply chains including the U.S.-China trade war, the impact of Japan-South Korea export controls on the semiconductor industry, and Chinese environmental and industrial safety policies. Upcoming Events & Resources Mentioned in this Episode: Subscribe to Supply Chain Now: supplychainnowradio.com/subscribe/ Connect with Scott on LinkedIn: www.linkedin.com/in/scottwindonluton/ Connect with Shehrina on LinkedIn: https://www.linkedin.com/in/shehrinakamal/ Connect with Tim on LinkedIn: https://www.linkedin.com/in/ytimothy/ Learn More About Resilience360: https://www.resilience360.dhl.com/ Download the Resilience360 Annual Risk Report: https://tinyurl.com/sm75xnp Resilience360 Press Release: https://tinyurl.com/vx3jtuu SCN Ranked #1 Supply Chain Podcast via FeedSpot: tinyurl.com/rud8y9m Gartner Supply Chain Symposium in Orlando: tinyurl.com/sqvnkex SCNR to Broadcast Live at MODEX 2020: www.modexshow.com/ SCNR to Broadcast Live at AME Atlanta 2020 Lean Summit: www.ame.org/ame-atlanta-2020-lean-summit 2020 Atlanta Supply Chain Awards: www.atlantasupplychainawards.com/ SCNR on YouTube: tinyurl.com/scnr-youtube The Latest Issue of the Supply Chain Pulse: conta.cc/2tXz9gT Coronavirus Impact on Supply Chain Operations: tinyurl.com/wfgqtpv 2020 AIAG Supply Chain Summit: www.aiag.org/store/events/detai…ventCode=E20SUPPLY 2020 AIAG Corporate Responsibility Summit: www.aiag.org/store/events/detai…ventCode=E20CRSMMT Check Out News From Our Sponsors: The Effective Syndicate: https://www.theeffectivesyndicate.com/blog U.S. Bank: https://www.usbpayment.com/transportation-solutions Capgemini: https://www.capgemini.com/us-en/ Vector Global Logistics: http://vectorgl.com/ APICS Atlanta: https://apicsatlanta.org TalentStream: https://talentstreamstaffing.com/ Verusen: https://www.verusen.com/ ProPurchaser.com: https://tinyurl.com/y6l2kh7g Supply Chain Real Estate: https://supplychainrealestate.com/ This episode was hosted by Scott Luton. For additional information, please visit our dedicated show page at: www.supplychainnowradio.com/episode-287

The 1920s was a period of great change and transition and the 2020s are shaping up to be the same—at least for FINRA’s Examination and Risk Monitoring program.We’re kicking off the new Roaring 20s with three members of the Member Supervision senior leadership team to learn what to expect from the Examination and Risk Monitoring program in the year ahead.On this episode of FINRA Unscripted, Ornella Bergeron, senior vice president of the carrying and clearing and diversified firm groups; Tom Nelli, senior vice president of exams and standards; and Bill St. Louis, senior vice president of the retail and capital markets firm groups, join us to tell us more.Resources mentioned in this episode:Episode 49: A Career Highlight: Exam and Risk Monitoring Program Transformation UpdateEpisode 45: Regulation Best Interest: Preparing for a New Standard of ConductFINRA Announces Senior Leadership Team Under New Examination and Risk Monitoring Program StructureFINRA Examination Program ImprovementsA Few Minutes with FINRA: Creating a Single, Unified Examination Program

In 2018, FINRA embarked on a large-scale transformation of its examination and risk monitoring program to make FINRA a more effective, agile and risk-focused regulator. A lot of progress has been made in the last year. The group is in the process of realigning around the business models of FINRA member firms, introducing a new single point of accountability and installing a new senior leadership team.On this episode of FINRA Unscripted, Bari Havlik, Executive Vice President of Member Supervision, tells us more. Resources mentioned in this episode:Episode 21: Introducing Bari HavlikFINRA Examination Program ImprovementsA Few Minutes with FINRA: Creating a Single, Unified Examination Program

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—this year focusing on materially new areas of focus so readers can better identify areas for program improvement. On this episode of FINRA Unscripted, we’re joined by Bari Havlik, FINRA’s executive vice president of Member Supervision, Steve Polansky, a senior director in Member Supervision, and Gene DeMaio, a senior vice president of options regulation and the trading and financial compliance exam program, to learn more about the changes to the letter and to drill into a few key topics. Stay tuned to hear more about new priorities such as fixed income mark-up disclosure and supervision of digital assets business, as well as some new takes on existing priorities, including suitability, best execution, market manipulation and more. Resources mentioned in this episode: 2019 Priorities Letter 2018 Priorities Letter 2018 Exam Findings Report Fixed Income Confirmation Disclosure FAQs SEC Statement on Digital Asset Securities Issuance and Trading SEC Issues Investigative Report on DAO Tokens

Cybersecurity is a major challenge for everyone – companies and individuals alike. But it can be a particularly big challenge for those in the financial industry. After all, it isn’t just firm data at risk—customer data and customers’ life savings may be at stake. Cybersecurity is such a big obstacle for financial firms that this month FINRA released the “Report on Selected Cybersecurity Practices – 2018.” The new report sheds light on some effective practices for FINRA member firms when it comes to branch office controls, phishing attacks, insider threats, penetration testing programs and mobile devices. On this episode of FINRA Unscripted, Steve Polansky, a senior director in FINRA’s Member Supervision Shared Services group, Dave Kelley, a surveillance director out of our Kansas City office, and Yolanda Trottman, an examination director in the regulatory review group in New York join us to discuss the report’s findings. Resources mentioned in this episode: Report on Selected Cybersecurity Practices 2018 Examination Findings Report 2015 Report on Cybersecurity Practices Phishing Investor Alert

When Bari Havlik joined FINRA as Executive Vice President of the newly named Member Supervision team, she did so with big plans for the examination and risk monitoring programs. After a more than 30 year career in compliance with the last 14 years spent as a chief compliance officer, Bari joined FINRA with a unique perspective on what FINRA could do to better leverage its staff and its talent and skills—while also eliminating duplication and improving the examination and risk monitoring experience for firms. In this episode of FINRA Unscripted, Bari joins us to share more about her vision for the future of FINRA’s exam and risk monitoring programs. Resources mentioned in this episode: Program Transformation Announcement FINRA360 Progress Report

Discussing Vaughan Nelson's risk monitoring process and how it informs the firm's portfolio management.

In this section, we showcase Digital Reasoning, which is bringing benefits of artificial intelligence and big data domain to risk management areas such as Risk Monitoring and Risk Treatment.