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Implementing a Risk-Based Program and Identifying Red Flags

SKU: FIN4300
General Credits
1
Price$50
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Description

This CLE program provides guidance on implementing an effective risk-based branch office inspection program.

After attending this session, you will be able to:

  • Understand FINRA’s Member Regulation Department’s approach to executing risk-based cycle and branch exams.
  • Gain insight into how member firms prepare for, facilitate and learn from risk-based regulatory examinations along with effective practices from the FINRA perspective.
  • Understand how FINRA uses technology, tools and data to support and modernize the risk-based examination framework.

Lecturer Bios

Don Runkle

Don Runkle is the Director of Consulting Services with Edgerton & Weaver, LLC, and the Regulatory Compliance Director for Coordinated Capital Securities, Inc. Mr. Runkle works with broker-dealers, investment advisers, and registered representatives to develop, implement, and execute strategies to mitigate or eliminate their litigation and regulatory risks. The combination of his firm’s legal expertise, strong regulatory relationships, and extensive business experience allows the firm to offer a uniquely comprehensive range of services for their clients. In his role with Coordinated Capital Securities, he helps to ensure that the firm has appropriate processes and procedures to exceed all regulatory requirements and manage risks in an efficient and effective fashion. He also assists with the execution of all procedures as necessary, including support functions in examinations, regulatory inquiries, customer complaints, options activities, municipal bond activities, new and ongoing product reviews, suitability analyses, and general operational and compliance functions. Mr. Runkle was previously the Chief Compliance Officer for Raymond James Financial Services, Inc., in St. Petersburg, Florida. He has over 23 years of experience in the financial services industry, having worked as a financial advisor and in several compliance-related roles. Mr. Runkle has been an active leader in numerous industry associations and regulatory committees.

He currently serves on the FINRA Membership Committee, and he was previously elected to two terms on the FINRA District 7 Committee. He has also served on the FINRA Regulatory Advisory Committee, the SIFMA Compliance and Regulatory Policy Committee, the FSI Compliance Council, and the SIFMA Compliance and Legal Society’s Regional Firms Committee. Previous industry involvement also includes the FINRA Compliance Resources and Education Committee, the FINRA Books and Records Task Force, the NASD Licensing and Registrations Council, the SIFMA Self-Regulations and Supervisory Practices Committee, the SIFMA State Regulation and Legislation Committee, and the IAFP Compliance Advisory Council. He holds numerous industry licenses, including the Series 7, 24, 53, 4, 63, 65, and previously obtained the Florida Life and Health insurance license. He also completed the Securities Industry Institute at the University of Pennsylvania Wharton School in 2004, and he has been a FINRA arbitrator since 1998.

David Greene

David Greene is District Director of FINRA’s Los Angeles District 2 Office. He served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. In his capacity as District Director, Mr. Greene oversees the sales practice oversight process of FINRA-regulated securities firms based in District 2, as well their employees, with responsibility for ongoing surveillance, examinations and investigations. In January 2000, Mr. Greene joined FINRA (then NASD) as a regional counsel for FINRA’s Enforcement Department, and was based in the Los Angeles District Office. For two-and-a-half years preceding his appointment as Director, Mr. Greene served as the Deputy Regional Chief Counsel, FINRA Enforcement Western Region, where his responsibilities included managing enforcement attorneys in FINRA district offices of Los Angeles, San Francisco, Denver and Seattle; developing and overseeing FINRA’s national non-summary proceedings programs; as well as his own enforcement docket. Among the significant cases Mr. Greene handled were those involving mutual fund share classes, gifts and gratuities, market timing, brokered certificates of deposit, sales practice violations and operational compliance issues.

Prior to joining FINRA, Mr. Greene was associated with a law firm in Los Angeles for 10 years. Mr. Greene received his undergraduate degree from Pepperdine University and his law degree from Southwestern University School of Law. Mr. Greene is licensed to practice law in California, and is admitted to practice before various federal courts. He is an executive committee liaison of the Los Angeles County Bar Association Business & Corporations Law Section and is frequently a speaker at securities industry events. Mr. Greene is also designated as a Certified Regulatory and Compliance Professional™ through the FINRA Institute at Wharton.

Laura Trotz

Laura Trotz is District Director of the Chicago District Office of FINRA. In her role as District Director, Ms. Trotz is responsible for overseeing District’s Surveillance and Examination programs. She has more than 20 years of experience in the securities industry and has been with the Chicago District Office for 18 years; previously, as an Associate District Director responsible for managing the District’s cycle and cause examination programs, Examination Manager responsible for managing a team of examiners for the cycle, cause and membership programs and as an examiner conducting cycle and cause examinations of member firms. Ms. Trotz received her B.A. in Finance from Illinois Benedictine College and holds the Certified Regulatory and Compliance Professional™ certificate from the FINRA Institute at Wharton.

Rich Link

Rich Link is Edward Jones’ chief compliance officer, responsible for the overall performance of the Compliance division. Since January 2016, he has served on the Edward Jones Management Committee. Mr. Link began his Edward Jones career in 1989 in the Operations division, since then, has worked in a number of leadership positions throughout the firm. He was named a principal with the firm in 2001. Mr. Link is a 1989 graduate of Southeast Missouri State University, with a bachelor’s degree in business administration and a major in marketing. In addition, he holds an MBA from Maryville University and in 2007 completed the FINRA Institute at Wharton's Certified Regulatory and Compliance Professional™ program. He is a member of the FINRA Compliance Advisory Committee, a member of the SIFMA C&L Executive Committee and has represented Edward Jones in the past by serving as chairman of the FINRA District 4 Committee.



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