OM DENNE EPISODE
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 actual price to the client?
- Reasonable Compensation: What is the BD entitled to charge for that trade?
- Are you supervising these topics separately?
The disciplinary cases discussed in this episode are listed below:
- Best Execution Case #1
- Best Execution Case #2
- Best Execution Case #3
- Fair Pricing Case #4
- Fair Pricing Case #5
- Reasonableness of Compensation Case #6
- Reasonableness of Compensation Case #7
Enjoy!
Engelsk
USA
UDSKRIFT 🔗
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SØK BLANT TIDLIGERE EPISODER
Søk etter gamle episoder av Fines & Wines.
ANDRE EPISODE I DENNE PODKAST
$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…
$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…
$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…
$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…
Ansvarsfraskrivelse: Podkasten og kunstværket, det finnes indlejret på denne siden, er fra TRADEliance, som tilhører dens eier og ikke er tilknyttet eller godkjent av Listen Notes, Inc.
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