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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内容由FINRA提供。所有播客内容（包括剧集、图形和播客描述）均由 FINRA 或其播客平台合作伙伴直接上传和提供。如果您认为有人在未经您许可的情况下使用您的受版权保护的作品，您可以按照此处概述的流程进行操作https://zh.player.fm/legal。
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Special Investigations Unit: Combating Money Laundering and Fraud in the Securities Industry
Manage episode 449762139 series 2309258
内容由FINRA提供。所有播客内容（包括剧集、图形和播客描述）均由 FINRA 或其播客平台合作伙伴直接上传和提供。如果您认为有人在未经您许可的情况下使用您的受版权保护的作品，您可以按照此处概述的流程进行操作https://zh.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
54集单集
分享
Manage episode 449762139 series 2309258
内容由FINRA提供。所有播客内容（包括剧集、图形和播客描述）均由 FINRA 或其播客平台合作伙伴直接上传和提供。如果您认为有人在未经您许可的情况下使用您的受版权保护的作品，您可以按照此处概述的流程进行操作https://zh.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
54集单集
All episodes
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类似 FINRA Unscripted 的节目
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
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
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continue reading
Custom Manufacturing Industry podcast is an entrepreneurship and motivational podcast on all platforms, hosted by Aaron Clippinger. Being CEO of multiple companies including the signage industry and the software industry, Aaron has over 20 years of consulting and business management. His software has grown internationally and with over a billion dollars annually going through the software. Using his Accounting degree, Aaron will be talking about his organizational ways to get things done. Hi ...
…
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
In each episode of "Goldman Sachs Exchanges," people from the firm share their insights on developments shaping industries, markets and the global economy.
…
continue reading
David Gardner, co-founder of The Motley Fool, is among the most respected and trusted sources on investing. As a best-selling author, hugely successful stock picker, and financial authority, David has led The Motley Fool’s growth into a worldwide investment and financial advisory services company. Each week David shares his insights into today's most innovative and disruptive publicly traded companies -- and how to profit from them by following his signature “Rule Breaker Investing” principles.
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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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The Unshakeables podcast from Chase for Business and iHeartMedia's Ruby Studio dives into the unbelievable “What are we gonna do now?” moments that changed everything for small business owners. From mom-and-pop coffee shops to auto-detailing garages, every small business owner knows that the journey is full of the unexpected. A single make-or-break experience can change the course of your business forever. Those who stand firm in their resolve have a special name. We call them The Unshakeabl ...
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continue reading
News and views on business and the world of personal finance. Plus the very latest from the financial markets around the globe
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continue reading
Player FM -播客应用
使用Player FM应用程序离线！
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