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Sanctions Alert: Russia-Related Sanctions

The Special Investigations Unit (SIU) within FINRA’s National Cause and Financial Crimes Detection (NCFC) program is bringing to your attention some additional Russia-related sanctions developments. Please note that these are in addition to those detailed in FINRA Regulatory Notice 22-06.

United statesUnited kingdomWhite houseDistrict of columbiaRussian federationVladimir putinJason foyeSergei lavrovKirill aleksandrovich dmitrievMinistry of finance the russian federationRussia security councilCentral bankEuropean commissionRussian direct investment fundNational wealth fund of the russian federationSpecial investigations unit

FINRA Sets First

FINRA set June 1, 2022, as the first "evaluation date" for FINRA's new Rule 4111.

Restricted firm obligationsRevaluation dateMember supervisionPreliminary identificationUniform registrationFinra sets first quot evaluation date for new rules on restricted firm obligationsFinance and bankingFinancial services

Encore | At, By or Through: Fraud in the Broker-Dealer Industry

This episode originally aired in April 2021.The brokerage industry has an important role to play when it comes to detecting, preventing and reporting fraud. On this episode, we hear from the then-head of FINRA's National Cause and Financial Crimes Detection Programs about recent trends and how firms can work to protect themselves and their customers.

United statesGreg ruppertKaitlyn kiernanInternet fraud complaint centerFinancial crimes detection programMember supervision nationalBitcoin or western unionFinancial crimes detection programsMember supervisionApple podcastsGoogle podcastsNational causeFinancial crimes detectionOftentimesi veWestern unionSecret service

FINRA Announces Retirement of Executive Vice President of Member Supervision Bari Havlik; Greg Ruppert Appointed as Successor

FINRA Announces Retirement of Executive Vice President of Member Supervision Bari Havlik; Greg Ruppert Appointed as Successor
pressreleasepoint.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from pressreleasepoint.com Daily Mail and Mail on Sunday newspapers.

United statesGreg ruppertRobert cookBari havlikSchool of engineeringFinancial crimes detection programHead of the department member supervisionDepartment of member supervisionUniversity of the pacificComputer science data master programMember supervisionSenior vice presidentFinancial crimes risk management groupSpecial agentComputer scienceData science master

FINRA Announces Retirement Of Executive Vice President Of Member Supervision Bari Havlik - Greg Ruppert Appointed As Successor

FINRA Announces Retirement Of Executive Vice President Of Member Supervision Bari Havlik - Greg Ruppert Appointed As Successor
mondovisione.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from mondovisione.com Daily Mail and Mail on Sunday newspapers.

Greg ruppertRobert cookBari havlikSchool of engineeringFinancial crimes detection programHead of the department member supervisionDepartment of member supervisionUniversity of the pacificComputer science data master programMember supervisionSenior vice presidentFinancial crimes risk management groupSpecial agentComputer scienceData science masterJuris doctorate