New Podcast: Preparing for Modern Regulatory Exams
The pandemic has changed how firms operate as offices close and staff work from home. Regulators have also had to change their examination practices to accommodate these changes. In this episode, Oyster Managing Director Ed Wegener, a former SVP and Midwest Regional Director of FINRA, shares his insider views on:
- the changes in the regulator’s examination program
- the kind of the people that are doing examinations
- what firms should expect when an examiner walks in now.
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