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
Fines & Wines
The Trade Confirm Sample Size Conundrum
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TRADEliance
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Season 1
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Episode 2
$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
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
