$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
10/26/22 • 19 min
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