Fines & Wines
Fines & Wines is a podcast by TRADEliance - a consulting firm for firms in the U.S. financial industry focused on Trading Operations and Compliance issues. Listen in as Jesy and Kat discuss their take on some of the recent disciplinary actions shaping the financial industry over a glass of fine wine. Though these episodes are intended to be casual, and a fun take on discussing regulation, our consultants are serious when it comes to helping you out. www.tradeliance.com
Podcasting since 2022 • 12 episodes
Fines & Wines
Latest Episodes
Enforcement Year in Review 2023
This episode focuses on the trends in FINRA Enforcement over the course 2023. TRADEliance discusses a several high level trends before doing a more in depth discussion on two topics: Manipulative Trading and Market Access.
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Season 1
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Episode 12
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25:39
Testing, Testing and More Testing
Listen in as TRADEliance discusses considerations for a robust Testing Plan.Drink every time we say testing…. No, not really, don't do that!We encourage firms to create a testing plan that goes beyond a 3120/206-7 tes...
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Season 1
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Episode 11
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22:44
So an Asset Manager Prices Some Bonds
Totals in Fines: Disgorgement: $11,000,000 + Prejudgment Interest $3,375,072, Firm Civil Penalty: $4,400,000, and Adviser Civil Penalty: $600,000Jesy is drinking wine in the laundry room 😊 RulesInvestment...
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Season 1
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Episode 10
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17:46
