High-Risk Activity Impacting Retail Investors

SKU: FIN7900

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About This Course

Join FINRA staff as they share helpful insight on identifying and assessing activity of registered representatives as high risk and how that intelligence can be more broadly used to assess risk across and within branch offices. Upon completion, you will be able to: Learn effective practices for identifying and mitigating risk in the hiring process. Summarize ways to identify indications of high-risk activity as part of ongoing supervision, and ways to mitigate such risk, including heightened supervision. This CLE program will assist in the learning of the data and methodologies used by FINRA to identify high-risk representatives, and how member firms can similarly use data as part of their supervision. Describe practical approaches to identifying and addressing high-risk activity as panelists describe actual examples.

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