Encore | Preparing for the Unexpected: The Ins and Outs and the Value of Succession Planning

FINRA Unscripted

Indhold leveret af FINRA. Alt podcastindhold inklusive episoder, grafik og podcastbeskrivelser uploades og leveres direkte af FINRA eller deres podcastplatformspartner. Hvis du mener, at nogen bruger dit ophavsretligt beskyttede værk uden din tilladelse, kan du følge processen beskrevet her https://da.player.fm/legal.

10M ago 27:24

MP3•Episode hjem

Succession planning, catastrophe planning, contingency planning--whatever you want to call it, these plans are important not just for customers and registered representatives but can even be a matter of life or death when it comes to the continued existence of a firm.

On this episode, we talk to Jeanette Wingler, FINRA’s Special Assistant to the CEO, and Elena Schlickenmaier, a Senior Principal Analyst in Member Supervision, to dig into Regulatory Notice 22-23 on succession planning to hear how and why firms should plan for the expected and unexpected in life.

Resources mentioned in this episode:

Regulatory Notice 22-23

Rule 4370: Business Continuity Planning

Rule 2040: Payments to Unregistered Persons

Continuing Membership Application Resources

FINRA Examination and Risk Monitoring Programs

Find us: X / Facebook / LinkedIn / E-mail

162 episoder

#Government #FINRA #Financial Industry Regulatory Authority #Compliance #Financial Services #Stock Broker #Brokerage Firm #Investing #Financial Protection #Regulations #Trading #Business #Stock #Bond