Fines & Wines

The Trade Confirm Sample Size Conundrum

October 26, 2022 TRADEliance Season 1 Episode 2
Fines & Wines
The Trade Confirm Sample Size Conundrum
Show Notes

$2.8 Million Fine for Trade Confirmation Issues

 Jesy and Kat review an AWC listed in the August 2022 FINRA disciplinary actions report 

  • Jesy finds her favorite wine for cheap
  • Kat buys wine from a gas station
  • Trade Confirms and Supervision
  • Systematic issues and misunderstanding of regulation

Read the AWC here.

www.tradeliance.com

TRADEliance consultants have the knowledge and first hand experience to improve your firm's trading operations or compliance processes.

https://www.buymeacoffee.com/finesandwines

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