Oyster Consulting: Inside FINRA Enforcement – What Firms Need to Know
On February 28, Lisa M. Colone and Christopher J. Kelly, Chairs of the CSG Law Securities Enforcement Group, will be featured on the Oyster Consulting podcast, “Inside FINRA Enforcement: What Firms Need to Know.” Ms. Colone and Mr. Kelly will share their perspectives on the current state of FINRA enforcement in the securities industry, the statistics of previous enforcement actions, the importance of strategic cooperation, and the reality of FINRA credit for cooperation.
Some key topics will include:
- 2024 enforcement action analysis
- Importance of proactive strategies in handling investigations
- Distinction between mandatory self-reporting and extraordinary cooperation
- Navigating the centralized process for FINRA enforcement referrals
- Key factors that influence enforcement outcomes and credit for cooperation
- Recommendations for improving compliance and engaging with regulators
To view a recording of this podcast, click here.