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
I've Got 99 Problems...And TRACE is All of Them
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TRADEliance
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Season 1
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Episode 6
$675,000 fine for issues related to TRACE Trade Reporting.
- Let’s start a book club! The ladies are currently reading the Bond King by Mary Childs and had a fangirl moment when she acknowledges them on Linkedin
- Kat and Jesy are on a quest for a good box wine
- Itemized TRACE Issues (It’s a lot)
- Late Trades
- No Remuneration Indicator
- Non-member Affiliate trade reports
- Factored corporate bonds
- Supervision
- Major theme: Systemic Issues
- Make sure you are supervising rejected trades
- How inclusive is your supervisory reviews?
Read the 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
