Fines & Wines

A Review of the Wall Street WhatsApp Fine-a-pa-looza

October 26, 2022 TRADEliance Season 1 Episode 3
Fines & Wines
A Review of the Wall Street WhatsApp Fine-a-pa-looza
Show Notes

$1.1 billion in Fines between 16 firms, most firms being individually fined $125 Million

  • Jesy is a picky pinot drinker
  • The girls reminisce on their visit to Woodinville Winery Town in Washington.   Thanks Adam!
  • The trouble with carpooling…
  • Bad books and records due to employees using personal text, email, and WhatsApp
  • BYOD (bring your own device) and a pandemic
  • Who is empowered to impact policies and procedures?

Read the Press Release for these cases here.

Read the Press Release for JP Morgan 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

Support the show