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
TRADEliance Takes on FINRA Exam Priorities
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TRADEliance
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Season 1
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Episode 8
Listen to Jesy and Kat discuss the 2023 Report on FINRA's Examination and Risk Monitoring Program!
We couldn't cover everything in the 75 page report, but we do manage to tackle the following topics:
- Market Integrity
- Books and Records
- Firm Short Positions and Fails to Receive in Municipal Securities
- Reg BI
- CAT
- Best Execution
- Disclosure of Routing Information
- Fixed Income Fair Pricing, Fractional Shares and
- Reg SHO.
Also - Jesy is sick and drinking boxed wine, while Kat gets fancy enjoying some Prosecco.
The link to the AWC Jesy referred to during the podcast is here.
Enjoy!
