$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.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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$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, email, and WhatsApp
• BYOD (bring your own device) and a pandemic
• Who is empowered to impact policies and procedures?

Read the Press Release for these cases here.

Read the Press Release for JP Morgan 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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$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 the 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

Support the show

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

Support the show