OM DENNE EPISODE
In this episode, TRADEliance founders, Jesy and Kat, review a high-profile enforcement action with a lot to unpack. So, pour yourself a glass of wine and listen as they discuss:
- Failing to reasonably supervise the firm’s maintenance and reporting of accurate and complete trade, order, and position data such as:
- Blue Sheets.
- Reporting fractional shares to TRF and CAT reporting.
- Mismarking option orders origin code.
- Customer option positions to LOPR.
- The firm's short interest positions.
- Executing trades during trading halts and failing to comply with Reg NMS to address extraordinary market volatility.
Also, send your recommendations for new wine openers to solutions@tradeliance.com!
Read the FINRA Press Release here.
TRADEliance consultants have the practical experience in Trading Operations & Compliance that help you achieve results. For a free needs assessment, contact solutions@tradeliance.com
Engelsk
USA
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SØG BLANDT TIDLIGERE EPISODER
Søg efter gamle afsnit af Fines & Wines.
ANDRE EPISODE I DENNE PODCAST
$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…
$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…
$2.8 Million Fine for Trade Confirmation Issues
Jesy and Kat review an AWC listed in the August 2022 FINRA disciplinary actions report
Jesy finds her favorite wine for cheap
Kat buys wine from a gas station
Trade Confirms and Supervision
Systematic issues and misunderstanding of regulation
Read …
Introduction to Fines and Wines
Meet Jesy LeBlanc and Kat Miller, the founders of TRADEliance. This brief episode shares how Jesy and Kat met and their passion for talking about financial regulation while drinking wine.
TRADEliance is a consulting firm for broker dealer and investment adviser f…
$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?
Read the full AWC here.
www.tradeliance…
Ansvarsfraskrivelse: Podcasten og kunstværket, der er indlejret på denne side, er fra TRADEliance, som tilhører dens ejer og ikke er tilknyttet eller godkendt af Listen Notes, Inc.
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