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The Problem with Customer Account Statements and Disclosures
$850,000 fine for issues related to statements and required disclosures
- The ladies share their love of Snoop Dogg and the Bond Dealers of America National Fixed Income event
- Statements can be hard
- Vendor Oversight is harder
- Negligent is the case that they gave me, I’m fresh up out my certification to FINRA that my systems are compliant.
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
View all episodes
By TRADEliance$850,000 fine for issues related to statements and required disclosures
- The ladies share their love of Snoop Dogg and the Bond Dealers of America National Fixed Income event
- Statements can be hard
- Vendor Oversight is harder
- Negligent is the case that they gave me, I’m fresh up out my certification to FINRA that my systems are compliant.
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