Fines & Wines

Fines & Wines

Por: TRADEliance
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
13 episodios disponibles

Latest episodes of the podcast Fines & Wines

When Complex Rules Cause Complex Issues 16/05/2025
Enforcement Trends - Year in Review 2024 02/01/2025
Enforcement Year in Review 2023 09/11/2023
Testing, Testing and More Testing 18/05/2023
Best Ex vs. Fair Pricing vs. Reasonable Comp 15/03/2023
TRADEliance Takes on FINRA Exam Priorities 09/02/2023
Brainstorming on Regulation Best Execution 05/01/2023
I've Got 99 Problems...And TRACE is All of Them 15/12/2022
The Problem with Customer Account Statements and Disclosures 11/11/2022
Trade Reporting and the Omission of the Short Sale Indicator 26/10/2022
A Review of the Wall Street WhatsApp Fine-a-pa-looza 26/10/2022
The Trade Confirm Sample Size Conundrum 26/10/2022
Meet Fines and Wines 25/10/2022
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