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Cross-Trades (18)
Your search for Cross-Trades returned 18 results.
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12/26/2018 | Content area: Investment Adviser
Nadel fraudulently induced clients of RIA to invest tens of millions of dollars in what he falsely represented as a liquid, cash management investment...
9/27/2018 | Content area: Investment Adviser
The manner in which Harrison effected the trades on behalf of Putnam resulted in undisclosed favorable treatment of certain advisory clients over othe...
8/23/2018 | Content area: Investment Adviser
Cross trading practices inconsistent with its compliance P&Ps, regulatory compliance manual and Forms ADV have yielded SEC charges against a New York-...
8/10/2018 | Content area: Investment Adviser
Hamlin selected these two dealers because they were willing to execute cross trades at favorable, pre-determined, spreads that were narrower than the ...
10/05/2017 | Content area: Investment Adviser
The regulatory landscape’s dotted with enforcement cases for violations related to cross trades and principal trades. With differing rules, missteps c...
9/29/2016 | Content area: Investment Adviser
An under-resourced compliance department and inadequate P&Ps tied to cross and principal trading have led to a $250,000 SEC civil money penalty agains...
12/01/2015 | Content area: Investment Adviser
A peer shares an example of a form that provides details of a cross trade.
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) An investment adviser, or a person registered as a broker-dealer under section 15 of the Securities Exchange Act of 1934 and controlling, control...
2/03/2014 | Content area: Investment Adviser
When the SEC forces you to hire a compliance consultant as part of a giant settlement, you know there are issues with your program.Compliance missteps...
2/03/2014 | Content area: Investment Adviser
Like striking a match in a tinderbox, engaging in cross trades creates hazards that can easily burn an adviser (see related story). Let's recap the ru...
11/05/2013 | Content area: Investment Adviser
Click here to open a Word file that is a matrix containing procedures for three tests: 1. cross trades 2. sampling fee calculations and 3. due inquiry...
6/15/2011 | Content area: Investment Adviser
Click here to see a cross trade consent form, which comes courtesy of Brookfield Investment Management in New York. This is a Word 2009 file.
1/01/2007 | Content area: Investment Adviser
6/07/2006 | Content area: Investment Adviser
Gardner Russo & Gardner: No-Action letter dated June 7, 2006 Investment Advisers Act of 1940 - Section 206(3) Gardner Russo & Gardner June...
2/14/2006 | Content area: Investment Adviser
1/01/2006 | Content area: Investment Adviser
1/01/2005 | Content area: Investment Adviser
1/01/2004 | Content area: Investment Adviser


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