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Best Execution (90)
Your search for Best Execution returned 90 results.
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12/21/2018 | Content area: Investment Adviser
These proceedings arise out of improper mutual fund share class selection practices by registered investment adviser PPS and its majority owner, Lawre...
12/21/2018 | Content area: Investment Adviser
These proceedings arise from breaches of fiduciary duty and inadequate disclosures by TFS, a registered investment adviser and broker-dealer, Parker a...
12/12/2018 | Content area: Investment Adviser
L&C’s policies and procedures did not include any factors it considered when selecting a broker for its clients or how it obtained the most favorable ...
11/06/2018 | Content area: Broker-Dealer
Order routing and execution practices have morphed in a big way over the past 18 years as technology and innovation have yielded securities markets th...
9/13/2018 | Content area: Investment Adviser
Harbour failed to fully and fairly disclose to its advisory clients compensation it received under a marketing services agreement with a third-party b...
8/24/2018 | Content area: Investment Adviser
FWA failed to disclose that it had a conflict of interest as a result of the additional compensation it received for those share class selection pract...
7/19/2018 | Content area: Investment Adviser
That new OCIE risk alert represents only the latest effort by the SEC to drill into firms their obligation to seek best execution (IA Watch, July 11, ...
7/18/2018 | Content area: Investment Adviser
A peer shares an Excel file the adviser uses to "score" its broker-dealers as part of its best execution review.
7/17/2018 | Content area: Investment Adviser
This is Janus Henderson Investors' best execution policy.
7/11/2018 | Content area: Investment Adviser
The Office of Compliance Inspections and Examinations (“OCIE”) is issuing this risk alert to provide investment advisers (“advisers”), investors and o...
7/11/2018 | Content area: Investment Adviser
OCIE’s second risk alert of the year has hit the street and it includes a litany of actions to avoid if you wish to skip trouble from examiners.   The...
4/06/2018 | Content area: Investment Adviser
These proceedings arise out of breaches of fiduciary duty, inadequate disclosures, and deficiencies in compliance policies and procedures by registere...
4/06/2018 | Content area: Investment Adviser
These proceedings arise out of improper mutual fund share class selection and billing practices by PNCI, a registered investment adviser and broker-de...
4/06/2018 | Content area: Investment Adviser
These proceedings arise from a series of failures by Geneos, a registered investment adviser and broker-dealer, in connection with its mutual fund sha...
1/16/2018 | Content area: Investment Adviser
A peer shares the RIA's compliance manual, complete with numerous P&Ps.
1/11/2018 | Content area: Broker-Dealer
FINRA has released its 2018 regulatory and examination priorities letter. The 10-page letter includes new topics as well as ongoing focus areas. Fraud...
12/14/2017 | Content area: Broker-Dealer
FINRA has released its first consolidated findings from recent examinations, delivering on a pledge made by the SRO’s President/CEO Robert Cook at the...
12/08/2017 | Content area: Investment Adviser
Check out this sample of a best execution policy.
11/16/2017 | Content area: Broker-Dealer
FINRA’s latest exam sweep focuses on broker-dealers’ receipt of order routing inducements and potential conflicts of interest. The SRO is looking to d...
9/14/2017 | Content area: Investment Adviser
STIS did not adequately inform its advisory clients of the conflicts of interest presented by its IARs’ share class selections and the receipt by STIS...


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