FINRA Enforcement Actions involving Robinhood - a podcast by Tom Fox

Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. This week Matt and Tom take a deep dive into the two recent FINRA enforcement actions involving the trading platform Robinhood. 
Some of the issues we consider are:What were the underlying facts?

Were red flags missed, consciously avoided or outright ignored?Where was compliance?

Why must the human element always be present in compliance?Why business continuity is really a compliance issues.

What about the IPO? Resources
Matt in Radical ComplianceLessons from Robinhood
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Further episodes of Compliance into the Weeds

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