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Listen "The Trade Confirm Sample Size Conundrum"
Episode Synopsis
$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 cheapKat buys wine from a gas stationTrade Confirms and SupervisionSystematic issues and misunderstanding of regulationRead the AWC here.www.tradeliance.comTRADEliance consultants have the knowledge and first hand experience to improve your firm's trading operations or compliance processes.https://www.buymeacoffee.com/finesandwinesSupport the show
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