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 Problem with Customer Account Statements and Disclosures
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TRADEliance
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Season 1
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Episode 5
$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
