Bitcoin groundbreakers share personal stories of how Bitcoin is changing lives for the better. Host Mauricio Di Bartolomeo, co-founder and CSO of Ledn, speaks with leading Bitcoin voices, entrepreneurs, and human rights advocates to hear their unique journey and practical real-world examples of how Bitcoin has made a positive impact in their lives. Brought to you by Ledn, a leading financial services company built for Bitcoin & digital assets. Ledn offers a suite of lending, saving and tradi ...
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FINRA에서 제공하는 콘텐츠입니다. 에피소드, 그래픽, 팟캐스트 설명을 포함한 모든 팟캐스트 콘텐츠는 FINRA 또는 해당 팟캐스트 플랫폼 파트너가 직접 업로드하고 제공합니다. 누군가가 귀하의 허락 없이 귀하의 저작물을 사용하고 있다고 생각되는 경우 여기에 설명된 절차를 따르실 수 있습니다 https://ko.player.fm/legal.
FINRA Unscripted와 비슷한 콘텐츠
Navigating today's global economy and deciphering investment choices can be an intricate endeavor. The influx of opinions and ever-shifting financial data adds to the challenge. For those committed to success, staying informed through market education and unbiased guidance is paramount. This realization has led an increasing number of individuals to integrate KPP Financial's 'InvestTalk' radio program and podcast into their investment strategies. InvestTalk, a daily program, delves into a ra ...
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continue reading
The Village Global podcast takes you inside the world of venture capital and technology, featuring enlightening interviews with entrepreneurs, investors and tech industry leaders. Learn more at www.villageglobal.vc.
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Motley Fool Money is a daily podcast for stock investors. Weekday episodes offer a long-term perspective on business news with The Motley Fool's investment analysts. Weekend shows are a mix of investing classes and longer-form interviews. The show is hosted by Dylan Lewis, Ricky Mulvey, and Mary Long.
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An independent podcast examining what the U.S. Congress is doing with our money and in our names. www.congressionaldish.com Follow @JenBriney on Twitter
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Introducing The Unshakeables, a new podcast from Chase for Business and iHeartMedia's Ruby Studio. Small businesses are the heart and soul of this country, but it takes a brave individual to start and run a company of their own. From mom-and-pop coffee shops to auto-detailing garages -- no matter the type of industry you’re in, every small business owner knows that the journey is full of the unexpected. A single moment may even change the course of your business forever. Those who stand firm ...
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Montgomery & Company (MoCo) is a weekly podcast and radio show hosted by two-time WNBA Champion and Co-Owner/Vice President of the Atlanta Dream, Renee Montgomery, in partnership with WABE Atlanta. Both insightful and compelling, MoCo features interviews with some of the world’s top athletes, entertainers, and innovators as well as roundtable discussions with Renee’s colleagues, friends, and family, about sports, culture and building generational wealth. Montgomery & Company: Sports, Cultu ...
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Professor Elizabeth Joh teaches Intro to Constitutional Law and most of the time this is a pretty straight forward job. But when Trump came into office, everything changed. During the four years of the Trump presidency, Professor Joh would check Twitter five minutes before each class to find out what the 45th President had said and how it jibes with 200 years of the judicial branch interpreting and ruling on the Constitution. Acclaimed podcaster Roman Mars (99% Invisible) was so anxious abou ...
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continue reading
The Washington Post's Presidential podcast explores how each former American president reached office, made decisions, handled crises and redefined the role of commander-in-chief. It was released leading up to up to Election Day 2016, starting with George Washington in week one and ending on week 44 with the president-elect. New special episodes in the countdown to the 2020 presidential election highlight other stories from U.S. presidential history that can help illuminate our current momen ...
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A personal finance and investing podcast on money, how it works, how to invest it and how to live without worrying about it. J. David Stein is a former Chief Investment Strategist and money manager. For close to two decades, he has been teaching individuals and institutions how to invest and handle their finances in ways that are simple to understand. More info at moneyfortherestofus.com
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Special Investigations Unit: Combating Money Laundering and Fraud in the Securities Industry
Manage episode 449762139 series 2309258
FINRA에서 제공하는 콘텐츠입니다. 에피소드, 그래픽, 팟캐스트 설명을 포함한 모든 팟캐스트 콘텐츠는 FINRA 또는 해당 팟캐스트 플랫폼 파트너가 직접 업로드하고 제공합니다. 누군가가 귀하의 허락 없이 귀하의 저작물을 사용하고 있다고 생각되는 경우 여기에 설명된 절차를 따르실 수 있습니다 https://ko.player.fm/legal.
In the securities world today, there is little daylight between money laundering and fraud. As these two spaces have come to increasingly overlap, FINRA created the Special Investigations Unit, or SIU, to detect and investigate cases illicit finance, market abuse and other fraud.
On this episode, we sit down with SIU Senior Director Gargi Sharma, and three investigative directors from her team: Kayla Le, Peter Gonzalez and David Byrne. They join us to share how they work to proactively identify and mitigate threats related to money laundering and other frauds.
Resources mentioned in this episode:
Reg Notice 21-14: FINRA Alerts Firms to Increase in ACH Instant Funds Abuse
Reg Notice 22-25: Heightened Threat of Fraud
Reg Notice 23-06: Effective Practices to Address Risks of Fraudulent Transfers
2023 Report on FINRA’s Examination and Risk Monitoring Program
2024 FINRA Annual Regulatory Oversight Report
Investor Insight: Ramp-and-Dump Scams
Investor Insight: Investment Group Imposter Scams
Episode 33: AML in the Securities Industry
Episode 129: Detecting and Preventing ACATS Fraud
Episode 154: FINRA’s High-Risk Representative Program
Episode 157: An Update on FINRA’s Financial Intelligence Unit
Episode 161: FINRA CEO Robert Cook on Disrupting the Cycle of Financial Fraud
165 에피소드
공유
Manage episode 449762139 series 2309258
FINRA에서 제공하는 콘텐츠입니다. 에피소드, 그래픽, 팟캐스트 설명을 포함한 모든 팟캐스트 콘텐츠는 FINRA 또는 해당 팟캐스트 플랫폼 파트너가 직접 업로드하고 제공합니다. 누군가가 귀하의 허락 없이 귀하의 저작물을 사용하고 있다고 생각되는 경우 여기에 설명된 절차를 따르실 수 있습니다 https://ko.player.fm/legal.
In the securities world today, there is little daylight between money laundering and fraud. As these two spaces have come to increasingly overlap, FINRA created the Special Investigations Unit, or SIU, to detect and investigate cases illicit finance, market abuse and other fraud.
On this episode, we sit down with SIU Senior Director Gargi Sharma, and three investigative directors from her team: Kayla Le, Peter Gonzalez and David Byrne. They join us to share how they work to proactively identify and mitigate threats related to money laundering and other frauds.
Resources mentioned in this episode:
Reg Notice 21-14: FINRA Alerts Firms to Increase in ACH Instant Funds Abuse
Reg Notice 22-25: Heightened Threat of Fraud
Reg Notice 23-06: Effective Practices to Address Risks of Fraudulent Transfers
2023 Report on FINRA’s Examination and Risk Monitoring Program
2024 FINRA Annual Regulatory Oversight Report
Investor Insight: Ramp-and-Dump Scams
Investor Insight: Investment Group Imposter Scams
Episode 33: AML in the Securities Industry
Episode 129: Detecting and Preventing ACATS Fraud
Episode 154: FINRA’s High-Risk Representative Program
Episode 157: An Update on FINRA’s Financial Intelligence Unit
Episode 161: FINRA CEO Robert Cook on Disrupting the Cycle of Financial Fraud
165 에피소드
모든 에피소드
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FINRA Unscripted와 비슷한 콘텐츠
Bitcoin groundbreakers share personal stories of how Bitcoin is changing lives for the better. Host Mauricio Di Bartolomeo, co-founder and CSO of Ledn, speaks with leading Bitcoin voices, entrepreneurs, and human rights advocates to hear their unique journey and practical real-world examples of how Bitcoin has made a positive impact in their lives. Brought to you by Ledn, a leading financial services company built for Bitcoin & digital assets. Ledn offers a suite of lending, saving and tradi ...
…
continue reading
Navigating today's global economy and deciphering investment choices can be an intricate endeavor. The influx of opinions and ever-shifting financial data adds to the challenge. For those committed to success, staying informed through market education and unbiased guidance is paramount. This realization has led an increasing number of individuals to integrate KPP Financial's 'InvestTalk' radio program and podcast into their investment strategies. InvestTalk, a daily program, delves into a ra ...
…
continue reading
The Village Global podcast takes you inside the world of venture capital and technology, featuring enlightening interviews with entrepreneurs, investors and tech industry leaders. Learn more at www.villageglobal.vc.
…
continue reading
Motley Fool Money is a daily podcast for stock investors. Weekday episodes offer a long-term perspective on business news with The Motley Fool's investment analysts. Weekend shows are a mix of investing classes and longer-form interviews. The show is hosted by Dylan Lewis, Ricky Mulvey, and Mary Long.
…
continue reading
An independent podcast examining what the U.S. Congress is doing with our money and in our names. www.congressionaldish.com Follow @JenBriney on Twitter
…
continue reading
Introducing The Unshakeables, a new podcast from Chase for Business and iHeartMedia's Ruby Studio. Small businesses are the heart and soul of this country, but it takes a brave individual to start and run a company of their own. From mom-and-pop coffee shops to auto-detailing garages -- no matter the type of industry you’re in, every small business owner knows that the journey is full of the unexpected. A single moment may even change the course of your business forever. Those who stand firm ...
…
continue reading
Montgomery & Company (MoCo) is a weekly podcast and radio show hosted by two-time WNBA Champion and Co-Owner/Vice President of the Atlanta Dream, Renee Montgomery, in partnership with WABE Atlanta. Both insightful and compelling, MoCo features interviews with some of the world’s top athletes, entertainers, and innovators as well as roundtable discussions with Renee’s colleagues, friends, and family, about sports, culture and building generational wealth. Montgomery & Company: Sports, Cultu ...
…
continue reading
Professor Elizabeth Joh teaches Intro to Constitutional Law and most of the time this is a pretty straight forward job. But when Trump came into office, everything changed. During the four years of the Trump presidency, Professor Joh would check Twitter five minutes before each class to find out what the 45th President had said and how it jibes with 200 years of the judicial branch interpreting and ruling on the Constitution. Acclaimed podcaster Roman Mars (99% Invisible) was so anxious abou ...
…
continue reading
The Washington Post's Presidential podcast explores how each former American president reached office, made decisions, handled crises and redefined the role of commander-in-chief. It was released leading up to up to Election Day 2016, starting with George Washington in week one and ending on week 44 with the president-elect. New special episodes in the countdown to the 2020 presidential election highlight other stories from U.S. presidential history that can help illuminate our current momen ...
…
continue reading
A personal finance and investing podcast on money, how it works, how to invest it and how to live without worrying about it. J. David Stein is a former Chief Investment Strategist and money manager. For close to two decades, he has been teaching individuals and institutions how to invest and handle their finances in ways that are simple to understand. More info at moneyfortherestofus.com
…
continue reading
Player FM -팟 캐스트 앱
Player FM 앱으로 오프라인으로 전환하세요!
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