OM DENNE 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 Procedures
- Testing samples should be targeted and random and targeted
- Think of testing vendors, systems and data as three of the pillars that will support a thorough testing plan
Engelsk
USA
UDSKRIFT 🔗
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ANDRE EPISODE I DENNE PODKAST
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…
$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…
$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…
$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 …
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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