Fines & Wines

Fines & Wines

By TRADElianceBusinessNewsInvestingBusiness News
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Fines & Wines episodes

  • Trade Reporting and the Omission of the Short Sale Indicator

    $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

    Support the show

    18 min
  • A Review of the Wall Street WhatsApp Fine-a-pa-looza

    $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

    Support the show

    18 min
  • The Trade Confirm Sample Size Conundrum

    $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

    20 min
  • 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

    Support the show

    4 min

About Fines & Wines

From the publisher's feed

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…