Fines & Wines
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 take on some of the recent disciplinary actions shaping the financial industry over a glass of fine wine. Though these episodes are intended to be casual, and a fun take on discussing regulation, our consultants are serious when it comes to helping you out. www.tradeliance.com
Fines & Wines
Brainstorming on Regulation Best Execution
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TRADEliance
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Season 1
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Episode 7
Listen in as TRADEliance brainstorms their comment letter for the Regulation Best Execution Proposal! Topics discussed include:
- The Antifraud Provisions of the Exchange Act as the mechanism for enforcement
- Conflicted Transactions
- Impacts to Introducing Brokers
- Use of Last Look
- The need for consistency in definitions
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
