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
Trade Reporting and the Omission of the Short Sale Indicator
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TRADEliance
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Season 1
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Episode 4
$250,000 for missing trade reporting indicators
- Kat finally gets to go to the grocery store
- Jesy drinks mystery anniversary wine
- Trade reporting issues due to system programming
- Specification manuals are fun!
- Does your firm have a trade reporting committee?
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
