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
Claim This Podcastby TRADEliance
5.0(4 reviews)
14 episodes
Updated Weekly
Accepts GuestsHas SponsorsLocation 🇺🇸
18
Podcast Authority
BetaPoorBased on show quality, social media presence, reviews, charts, and more
Quality23
Social0
YouTube0
Engagement32
Podcast Overview
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
Language
🇺🇲
Publishing Since
10/25/2022
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18
Podcast Authority
BetaPoorBased on show quality, social media presence, reviews, charts, and more
Quality23
Social0
YouTube0
Engagement32
5
Excellent Areas
2
Good Performance
12
Growth Opportunities
excellent
Episode Length
9 minutes
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good
Show Notes Quality
3.0/5
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Publishing Consistency
Every 67 days
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Recent Episodes
May 16, 2025
When Complex Rules Cause Complex Issues
In this episode, TRADEliance founders, Jesy and Kat, review a high-profile enforcement action with a lot to unpack. So, pour yourself a glass of wine and listen as they discuss: Failing to reasonably supervise the firm’s maintenance and reporting of accurate and complete trade, order, and position data such as: Blue Sheets. Reporting fractional shares to TRF and CAT reporting. Mismarking option orders origin code. Customer option positions to LOPR. ...
January 2, 2025
Enforcement Trends - Year in Review 2024
The TRADEliance consultants have been hard at work this year, so it has been a while since we were able to make a new episode for you. In this episode, Jesy and Kat share their observations regarding FINRA enforcement trends for 2024 in the Capital Market space. Those trends include: Founders Jesy and Kat share updates from 2024Rule 605 & 606 reportsMarket AccessFixed Income Trade Reporting (TRACE and RTRS)Best ExecutionTrade ConfirmationsPrevailing Market PriceReg SHOCo...
November 9, 2023
Enforcement Year in Review 2023
This episode focuses on the trends in FINRA Enforcement over the course 2023. TRADEliance discusses a several high level trends before doing a more in depth discussion on two topics: Manipulative Trading and Market Access. Jesy and Kat crack open some mediocre bubbly to celebrate this episode.Firms should take note of conducting thorough testing to prevent and detect system issues.Many of the trends in enforcement also highlight the need for training.Other topics discussed in...
14 total episodes available
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Frequently asked questions
Have a different question and can't find the answer you're looking for? Reach out to our support team by sending us an email and we'll get back to you as soon as we can.
- What is Fines & Wines?
- How often does this podcast release new episodes?
This podcast updates weekly.
- Where can I listen to this podcast?
This podcast is available on 10 platforms including Apple Podcasts, Spotify, and more. You can also use the RSS feed directly.
- Does this podcast accept guests?
Yes, this podcast regularly features guests.
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