We talked about:
- how to stay connected to the developments to track regulatory change effectively;
- the importance of being ready to pivot and being agile enough to work under a new administration’s regulatory regime;
- her work on FINRA’s Continuing Education Council, which provides advice and guidance to FINRA and the other SROs;
- taking really dry, boring training and applying it to a real-life scenario to see how the rule applies to particular fact scenarios;
- ensuring the board of directors and senior executives really have an idea of relevant risks at a high level; and
- why she believes there is a lot of wonderful opportunity in the practice of compliance, now and in the near future.
A transcript of the podcast is available here.
