6/25/2017 | Content area:
A peer shares a sample trade allocation policy.
8/25/2016 | Content area:
Perhaps you want a mobile app to make trades while your toes wriggle in the sand at your favorite beach. Or you’re starting a new investment strategy ...
5/26/2016 | Content area:
Every quarter for the last decade, Jonathan Kaufman has been “getting my fingers” dirty combing and assembling his firm’s trading data to look for tre...
3/19/2015 | Content area:
There’s no debate. Firms can’t use their soft dollars to cover a trade error (IA Watch, Nov. 7, 2011). End all doubt by checking out this language fro...
12/04/2014 | Content area:
Investors moving to put their money into companies that do good appears as hot as an Arizona solar panel in July. A new report on socially responsible...
9/16/2014 | Content area:
Hedge fund advisers lured by rapid growth in the more than $300 billion alternative mutual funds market are increasingly becoming involved with the fu...
9/11/2014 | Content area:
Investment Adviser | Private Fund
Former SEC Division of Investment Management Director Norm Champ talks about the hedge fund industry.
9/09/2014 | Content area:
Investment Adviser | Private Fund
SEC Charges Minneapolis-Based Hedge Fund Manager with Bilking Investors and Portfolio Pumping
9/03/2014 | Content area:
Adopting a set of compliance policies and procedures that form your firm’s compliance manual makes up only half the battle. The true key is then imple...
8/28/2014 | Content area:
This hedge fund adviser settled Advisers Act charges related to compliance and trade allocations concerns.
8/11/2014 | Content area:
Manually or electronically. Restricted lists or no-holes barred. Pre-clearance or trading freedom. Firm choice and its business often define how your ...
7/14/2014 | Content area:
Earlier this year, we reported OCIE's sweep of alternative mutual fund advisers (IA Watch, April 28, 2014). Now, SEC Director of Investment Management...
7/07/2014 | Content area:
By the time the SEC had focused its beam on cybersecurity, StephenSmetana had already taken action. The CCO at Angeles Investment Advisors ($1.7B in A...
5/05/2014 | Content area:
They may go by several names, and even have various definitions, but the fundamental component of a wrap fee program is that your client pays one umbr...
3/17/2014 | Content area:
Anxiety naturally would come to those advisers that have never been examined but yet realize they may soon be visited given OCIE's new initiative (IA ...
3/06/2014 | Content area:
Investment Company Act of 1940 — Section 15(a)
RS Global Natural Resources Fund
March 6, 2014
RESPONSE OF THE ...
2/24/2014 | Content area:
If you're your firm's CCO, know that your letter could be in the mail. Last week OCIE released a three-page letter bound for senior executives and CCO...
1/20/2014 | Content area:
If your firm has never been examined by the SEC, you still may not get a visit even after your number comes up.That's because OCIE will decide between...
12/12/2013 | Content area:
SEC settles with Merrill Lynch for violations related to its structuring and marketing of a series of collateralized debt obligation (CDOs) transactio...
11/04/2013 | Content area:
Whether it's an e-mail, proxy service, portfolio management, document repository or some other vendor, your firm likely turns to a third-party to hous...