이 팟캐스트 소개 🔗
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
업데이트 빈도:
every 51 days
평균 오디오 길이:
20 minutes
스폰서 있음
영어
미국
에피소드 13 개
2022년 10월 25일부터
episodic
최신 에피소드 🔗
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 positi…
이전 에피소드 🔗
The TRADEliance consultants have been hard at work this year, so it has been a while since we were able to make a new episode for you. In this episode, Jesy and Kat share their observations regarding FINRA enforcement trends for 2024 in the Capital Market space. Those trends include:
Founders…
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.
…
Listen in as TRADEliance discusses considerations for a robust Testing Plan.
Drink every time we say testing…. No, not really, don't do that!
We encourage firms to create a testing plan that goes beyond a 3120/206-7 testing obligation
Written Supervisory Procedures vs Supervisory Controls Pr…
This episode takes a slightly different approach! Listen in as TRADEliance discusses the difference between best ex, fair pricing and reasonable compensation while highlighting some cases that support these differences.
Best Execution: How is the Order Handled ?
Fair Pricing: What is the actu…
Listen to Jesy and Kat discuss the 2023 Report on FINRA's Examination and Risk Monitoring Program!We couldn't cover everything in the 75 page report, but we do manage to tackle the following topics:
Market Integrity
Books and Records
Firm Short Positions and Fails to Receive in Munici…
Listen in as TRADEliance brainstorms their comment letter for the Regulation Best Execution Proposal! Topics discussed include:
The Antifraud Provisions of the Exchange Act as the mechanism for enforcement
Conflicted Transactions
Impacts to Introducing Brokers
Use of Last Look
The need for cons…
$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)
La…
$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 …
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