Our final report from FINRA Annual 2023 covers a fascinating discussion on new communication technologies.
FINRA Annual 2023
The rise of hybrid working has prompted a rethink in the approach to branch inspections.
An expert panel discussed the motivation for bad actors, and the measures needed to stop them.
Omer Meisel (OM), Senior VP at FINRA spoke to Paul M Abbate, Deputy Director of the FBI, and Brian Nelson, Under Secretary for Terrorism and Financial Intelligence at the US Treasury at FINRA 2023.
A wide-ranging conversation covered the latest trends in enforcement cases brought or being pursued by the SEC and FINRA.
Among the many topics covered were Reg BI, technology, bonds and equity market structure, including best execution, as well as digital assets and off-channel communications.
Kayte Toczylowski, VP of Member Relations and Education, put the questions that she is hearing most frequently from members to Robert Cook, President and CEO, FINRA, at the regulator's annual conference in Washington DC.