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Trade Reporting (30)
Your search for Trade Reporting returned 30 results.
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1/17/2019 | Content area: Investment Adviser
IA Watch has obtained a copy of an Excel file demonstrating the trade blotter format OCIE would like firms to submit during an SEC exam.   The new for...
4/10/2017 | Content area: Investment Adviser
A peer shares a checklist for ensuring that your trade tickets or trade blotters contain the necessary items to satisfy the Investment Advisers Act's ...
4/04/2017 | Content area: Investment Adviser
This is an example of a trade ticket submitted by a peer.
9/02/2015 | Content area: Investment Adviser
Anne Plimpton of McDermott Will & Emery gave us permission to share her memo on Exchange Act section 16 filings, including so-called Form 4 and Form 5...
8/19/2015 | Content area: Investment Adviser | Broker-Dealer
CGMI’s trade surveillance failed to detect these principal transactions for more than two years because it relied on an exception report that was not ...
4/14/2015 | Content area: Investment Adviser | Broker-Dealer
The speed and interconnectedness in our markets provides a number of benefits. However, we also know that when software or computers fail, they can c...
4/13/2015 | Content area: Investment Adviser
Click here to open a Word file from a peer. The adviser uses this form to document due diligence of non-recommended or non-approved holdings.
1/05/2015 | Content area: Investment Adviser | Private Fund
These are instructions for how to conduct a transaction analysis for forensic testing around trading. This comes courtesy of Krista Zipfel, CEO/presid...
11/11/2014 | Content area: Investment Adviser
This SEC document request letter from 2014 includes language for the adviser to share a robust trade blotter.
5/26/2014 | Content area: Investment Adviser | Private Fund
Perhaps you've mulled the best practice Margaret Hornbeck accomplished after we recently revealed OCIE's new 27-item trade blotter template (IA Watch,...
4/28/2014 | Content area: Investment Adviser
IA Watch has obtained copies of requests from SEC examiners that ask firms to provide more extensive data when sharing their trade blotters. One docum...
4/24/2014 | Content area: Investment Adviser
Click here to open a Word document that comes from an SEC document request of an adviser during an exam. This document lays out the new way the SEC wa...
4/24/2014 | Content area: Investment Adviser
This is an SEC document request letter sent to an advisory firm from the Los Angeles Regional Office. Note the new trade blotter layout in this docume...
4/21/2014 | Content area: Investment Adviser
Whether your firm relies upon old-fashioned paper trade tickets or comprehensive software, your records need to include what the Advisers Act mandates...
12/02/2013 | Content area: Investment Adviser
The recent embarrassment of an SEC examiner being charged with violating the agency's rules on personal trading (IA Watch, Nov. 25, 2013) won't change...
8/19/2013 | Content area: Investment Adviser | Broker-Dealer
Compliance officers at dually-registered firms and broker-dealers would be advised to heed several "red flags" within OCIE's latest risk alert so as t...
6/03/2013 | Content area: Investment Adviser
You can call up a website on the other side of the planet with a click of a mouse, yet you may be surprised by how many of your peers still use paper ...
4/29/2013 | Content area: Investment Adviser
You've heard the message before. Pay attention to compliance or pay. This lesson pops up anew in the travails of Foxhall Capital Management ($27M in A...
4/15/2013 | Content area: Investment Adviser
Last year, about this time, the SEC delayed the compliance date for broker-dealers to comply with aspects of the agency's large trader rule until this...
2/18/2013 | Content area: Investment Adviser
If you're an institutional investment manager with discretion over at least $100 million in such assets, you know you have 45 days after each quarter ...


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