
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 • 14 episodes
Fines & Wines
Latest Episodes
When Complex Rules Cause Complex Issues
In this episode, TRADEliance founders, Jesy and Kat, review a high-profile enforcement action with a lot to unpack. So, pour yourself a glass of wine and listen as they discuss: Failing to reasonably supervise the firm’s ...
•
Season 1
•
Episode 14
•
26:11

Enforcement Trends - Year in Review 2024
The TRADEliance consultants have been hard at work this year, so it has been a while since we were able to make a new episode for you. In this episode, Jesy and Kat share their observations regarding FINRA enforcement trends for 2024 in ...
•
Season 1
•
Episode 13
•
19:11

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.
•
Season 1
•
Episode 12
•
25:39
