Testimonials
“We worked with TRADEliance on a review of our Equity Trading desk as part of our 3120 process. The work was on-time, thorough and professional. The report was straight forward with no surprises. I would definitely recommend them for any work on analyzing trade data and trade desks reviews.”
Chief Compliance Officer, Clearing Firm
"We engaged TRADEliance for assistance with the recent implementation of FINRA Rule 4210 related to covered agency transactions. Jesy and Kat evaluated our current processes and fixed income activity to help us devise a process for identifying applicable transactions and instituting a mark to market process so that we could either collect margin or take a net capital charge. Their expertise in the fixed income market enabled them to develop a process that worked for us, taking into account our size and infrastructure. They also created the necessary WSPS, which was extremely beneficial.
We are not a big fixed income shop and therefore we don’t have the resources and expertise that larger trading firms have. Being able to work with TRADEliance was like having our own dedicated fixed income compliance support team."
Chief Compliance Officer, Introducing Broker-Dealer
"TRADEliance was a pleasure to work with, they understood our project needs [to review our firm's Equity Trade and Sales WSPs] with minimal explanation and follow-up questions or requests were with minimal interruption to our internal team. Their work was very detailed, and the analysis was well presented and easy to follow. We also found it very helpful to follow their regulatory updates on LinkedIn and through their weekly email."
Chief Compliance Officer, Broker-Dealer
