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
Enforcement Year in Review 2023
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TRADEliance
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Season 1
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Episode 12
This episode focuses on the trends in FINRA Enforcement over the course 2023. TRADEliance discusses a several high level trends before doing a more in depth discussion on two topics: Manipulative Trading and Market Access.
- Jesy and Kat crack open some mediocre bubbly to celebrate this episode.
- Firms should take note of conducting thorough testing to prevent and detect system issues.
- Many of the trends in enforcement also highlight the need for training.
- Other topics discussed include:
- Trade Confirmations
- Recordkeeping
- 605/606
- TRACE Trade Reporting
- LOPR
- Private Placements
- Reg Sho
- Best Ex
- Market Orders for New Issues in the Secondary Market
- Marking to Market Surveillance
- CAT
- Oversubscription of Partial Tender Offers
For information on any of the cases discussed, contact solutions@tradeliance.com
