The Trade Confirm Sample Size Conundrum
10/26/22 • 19 min
$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
www.tradeliance.com
TRADEliance consultants have the knowledge and first hand experience to improve your firm's trading operations or compliance processes.
https://www.buymeacoffee.com/finesandwines
$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
www.tradeliance.com
TRADEliance consultants have the knowledge and first hand experience to improve your firm's trading operations or compliance processes.
https://www.buymeacoffee.com/finesandwines
Previous Episode
Meet Fines and Wines
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 firms in the areas of trading operations and compliance.
www.tradeliance.com
Next Episode
The Problem with Customer Account Statements and Disclosures
$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 to FINRA that my systems are compliant.
Read the full AWC here.
www.tradeliance.com
TRADEliance consultants have the knowledge and first hand experience to improve your firm's trading operations or compliance processes.
https://www.buymeacoffee.com/finesandwines
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