$675,000 fine for issues related to TRACE Trade Reporting.

• Let’s start a book club!  The ladies are currently reading the Bond King by Mary Childs and had a fangirl moment when she acknowledges them on Linkedin
• Kat and Jesy are on a quest for a good box wine
• Itemized TRACE Issues (It’s a lot)
   
  • Late Trades 
  • No Remuneration Indicator 
  • Non-member Affiliate trade reports
  • Factored corporate bonds 
  • Supervision
  • Major theme:   Systemic Issues
• Make sure you are supervising rejected trades
• How inclusive is your supervisory reviews?

Read the AWC here.

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TRADEliance consultants have the knowledge and first hand experience to improve your firm's trading operations or compliance processes.

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