We're in beta. Stay tuned for updates.x
Loading...
PODCAST

Fines & Wines

TRADEliance
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
business investing

All Episodes

26:11
When Complex Rules Cause Complex Issues
Fines & Wines ·
2025/05/16
en-us
19:11
Enforcement Trends - Year in Review 2024
Fines & Wines ·
2025/01/02
en-us
25:39
Enforcement Year in Review 2023
Fines & Wines ·
2023/11/09
en-us
22:44
Testing, Testing and More Testing
Fines & Wines ·
2023/05/18
en-us
17:46
So an Asset Manager Prices Some Bonds
Fines & Wines ·
2023/04/13
en-us
21:11
Best Ex vs. Fair Pricing vs. Reasonable Comp
Fines & Wines ·
2023/03/15
en-us
32:05
TRADEliance Takes on FINRA Exam Priorities
Fines & Wines ·
2023/02/09
en-us
15:40
Brainstorming on Regulation Best Execution
Fines & Wines ·
2023/01/05
en-us
18:46
I've Got 99 Problems...And TRACE is All of Them
Fines & Wines ·
2022/12/15
en-us
21:00
The Problem with Customer Account Statements and...
Fines & Wines ·
2022/11/11
en-us
17:43
A Review of the Wall Street WhatsApp Fine-a-pa-looza
Fines & Wines ·
2022/10/26
en-us
17:45
Trade Reporting and the Omission of the Short Sale...
Fines & Wines ·
2022/10/26
en-us
19:33
The Trade Confirm Sample Size Conundrum
Fines & Wines ·
2022/10/26
en-us
3:04
Meet Fines and Wines
Fines & Wines ·
2022/10/25
en-us
14 results

Similar Podcasts
TaxTalent.com The Golden Rule Podcast
Adam Golden
TaxTalent.com Podcast
Tony Santiago
Nomad Capitalist Audio Experience
Nomad Capitalist
Supply Shock
Blockworks
RadioBorsa - La tua guida controcorrente per investire bene nella Borsa e nella Vita
SoldiExpert SCF