The COVID-19 pandemic is unlike any other crisis in recent history, and that presents an opportunity to criminals who are flexible and adaptable. That means firms and regulators must be flexible and adaptable too. 

In his first week on the job, Greg Ruppert, the new head of the National Cause and Financial Crimes Detection Programs (NCFC), created a COVID-19 Task Force to help FINRA tackle emerging issues to quickly protect investors and to maintain the integrity of our markets.

On this episode, Greg joins us to tell us more about the task force, how firms can identify, detect and mitigate emerging threats and the importance of adopting a “one team, one fight” approach. 

Resources mentioned in this episode:

Episode 60: Introducing Greg Ruppert and the NCFC

COVID-19 Resource Page

Fraud and Your Investment Accounts During COVID-19 Pandemic

Regulatory Notice 20-13

Virtual Conference Panels

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