FINRA's Risk Monitoring Program: Understanding the Unique Risks of Every Firm

Published: April 4, 2023, 10:30 a.m.

b"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 this episode, we hear how they spot and track risks across similar firms."