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Systems (11)
Your search for Systems returned 11 results.
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2/04/2013 | Content area: Investment Adviser
A peer shares his firm's trade process workflow, along with the caution that firms vary significantly and one process may not fit another firm's.
12/13/2012 | Content area: Investment Adviser
A peer shares policies and procedures around quantitative investing.
11/05/2012 | Content area: Investment Adviser
Christopher Columbus couldn't have asked for a map to the New World. Similarly, James Cullen found no guide when he set out to develop policies and pr...
8/13/2012 | Content area: Investment Adviser
Knight Capital hasn't revealed exactly what happened Aug. 1 when "a technology issue" sent "numerous erroneous orders" to the New York Stock Exchange,...
7/23/2012 | Content area: Investment Adviser
Click here to open a Word file that is an affiliate trade form from one of your peers. This would be signed by the portfolio manager and the complianc...
11/07/2011 | Content area: Investment Adviser
Advisory firms that heeded the lessons of Lehman Brothers (IA Watch, Nov. 10, 2008) by not relying on one prime broker could be feeling little or no s...
5/17/2010 | Content area: Investment Adviser
There's no evidence that terrorism, hackers, a flagrant "fat finger" or even one massive trade in a single security caused the May 6 Dow nosedive. The...
3/30/2009 | Content area: Investment Adviser
Valuation bedevils firms, so why not turn to a tool that can help you document your process and feel as comfortable as you can these days that the pri...
1/01/2007 | Content area: Investment Adviser
5/09/1991 | Content area: Investment Adviser
SECURITIES AND EXCHANGE COMMISSIONRelease No. 34-29185; File No. S7-12-91 Automated Systems of Self-Regulatory OrganizationsAGENCY:Securities and Exch...
11/16/1989 | Content area: Investment Adviser
SECURITIES AND EXCHANGE COMMISSIONRelease No. 34-27445; File No. S7-29-89Automated Systems of Self-Regulatory OrganizationsAGENCY:Securities and Excha...


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