We are excited to announce our Q2 Bullet Point Panel: Trade Confirmations!?We hope you can join us and Ignacio Sandoval from Orrick, Herrington & Sutcliffe LLP on May 7 as we discuss applicable rules, enforcement trends, and best practices! #capitalmarketsconsulting #compliance #operations #TRADEliance https://lnkd.in/ge6PTTSd
TRADEliance, LLC.
商务咨询服务
Seattle，WA 1,919 位关注者
Your partner in Trading Operations and Compliance with the first-hand knowledge and experience to achieve results.
关于我们
We created this consulting firm to provide clients superior knowledge, guidance, and support in this ever-changing industry. With over 30+ years of combined experience, our consultants can help ease the regulatory burden placed on Broker Dealer and Investment Adviser firms in trading operations and compliance.
- 网站
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www.tradeliance.com
TRADEliance, LLC.的外部链接
- 所属行业
- 商务咨询服务
- 规模
- 2-10 人
- 总部
- Seattle，WA
- 类型
- 私人持股
- 领域
- Trading Compliance、Trading Operations、Financial Regulation、Consulting、Policies and Procedures和Testing
地点
TRADEliance, LLC.员工
动态
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In Nov. 2024, the SEC issued a No Action Letter regarding 15c2-11 (Publication or Submission of Quotations without Specified Information) for Fixed Income in which the SEC will not recommend enforcement under specific circumstances. #capitalmarketsconsulting #compliance #operations #TRADEliance https://lnkd.in/dz6HHDDj
Amended Rule 15c2-11 in Relation to Fixed Income Securities
sec.gov
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Registration will be closing soon for the St Louis Trading Operations and Compliance Roundtable.??We hope you can join us as we discuss hot topics for both equity and fixed income on Mar 13 & 14.?Click to register for this free, in-person event! #capitalmarketsconsulting #compliance #operations #TRADEliance https://lnkd.in/gDpWarFw
Roundtable Registration
tradeliance.com
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If you see Kat Miller today make sure to wish her a happy birthday! Kat - TRADEliance, LLC. is so lucky to have you! #capitalmarketsconsulting #compliance #operations #TRADEliance
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Our day and a half long Trading Operations & Compliance Roundtable in St. Louis is right around the corner.?Register today for this free, in person event, and discuss important topics such as CAT, Market Access, fixed income fair pricing, 605/606, municipal material information disclosure, trade surveillance and many others.?Special thanks to our sponsors BondWave, DPC DATA Inc., EQube Compliance by DbCom, n-Tier fs and S3. #capitalmarketsconsulting #compliance #operations #TRADEliance https://lnkd.in/gDpWarFw
Roundtable Registration
tradeliance.com
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FINRA fined a firm recently for issues related to its market access program. The firm in this case allegedly did not maintain a reasonable system for regulatory reviewing the effectiveness of its market access program. Among other things, FINRA cited that the firm's review process relied on reviews that were either not set up to adequately identify unreasonable thresholds or that the review itself was not documented.?As a result, the firm failed to demonstrate the reasonableness of its limits and controls.? If you need help complying with the annual requirement to assess the effectiveness of your firm's market access program, TRADEliance is here to lend a hand.?Contact us today.? #capitalmarketsconsulting #compliance #operations #TRADEliance
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