Fines & Wines
The Problem with Customer Account Statements and Disclosures
November 11, 2022
TRADEliance
Season 1
Episode 5
The Problem with Customer Account Statements and Disclosures
Fines & Wines
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Fines & Wines
The Problem with Customer Account Statements and Disclosures
Nov 11, 2022
Season 1
Episode 5
TRADEliance
$850,000 fine for issues related to statements and required disclosures
- The ladies share their love of Snoop Dogg and the Bond Dealers of America National Fixed Income event
- Statements can be hard
- Vendor Oversight is harder
- Negligent is the case that they gave me, I’m fresh up out my certification to FINRA that my systems are compliant.
Read the full 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
$850,000 fine for issues related to statements and required disclosures
- The ladies share their love of Snoop Dogg and the Bond Dealers of America National Fixed Income event
- Statements can be hard
- Vendor Oversight is harder
- Negligent is the case that they gave me, I’m fresh up out my certification to FINRA that my systems are compliant.
Read the full 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