Oyster Stew - A Broth of Financial Services Commentary and Insights

2021 Exam Priorities: The Importance of a Risk-Based Approach

March 17, 2021 Buddy Doyle, Evan Rosser, Ed Wegener, Jeffrey Hiller
Oyster Stew - A Broth of Financial Services Commentary and Insights
2021 Exam Priorities: The Importance of a Risk-Based Approach
Chapters
Oyster Stew - A Broth of Financial Services Commentary and Insights
2021 Exam Priorities: The Importance of a Risk-Based Approach
Mar 17, 2021
Buddy Doyle, Evan Rosser, Ed Wegener, Jeffrey Hiller

 Join Oyster CEO Buddy Doyle and consultants Ed WegenerEvan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss the importance of viewing the FINRA's 2021 Exam Priorities and your compliance program through a risk-based lens.  

Show Notes

 Join Oyster CEO Buddy Doyle and consultants Ed WegenerEvan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss the importance of viewing the FINRA's 2021 Exam Priorities and your compliance program through a risk-based lens.