Susan Schroeder Discusses FINRA’s Examination and Risk Monitoring Program During Compliance in Context Podcast

Susan Schroeder Discusses FINRA’s Examination and Risk Monitoring Program During Compliance in Context Podcast

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Susan Schroeder joins the National Society of Compliance Professionals’ Compliance in Context to discuss the potential impacts of the 2022 Report on FINRA’s Examination and Risk Monitoring Program. Over the course of thirty minutes, Schroeder and host Patrick Hayes touch on mobile devices and investing, cybersecurity and technology governance, best execution standards and much more.

Listen to the full episode on Apple Podcast, Google Podcast or Spotify.

 

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