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
A Review of the Wall Street WhatsApp Fine-a-pa-looza
•
TRADEliance
•
Season 1
•
Episode 3
$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
