Conquering Current Compliance Challenges
Sept. 11, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 12, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
BEST EXECUTION NEWS & GUIDANCE
8/12/2013 | Content area: Investment Adviser
You seldom see the SEC pressing enforcement actions against advisers for best execution violations yet two such cases just popped up (IA Watch, Aug. 5...
8/05/2013 | Content area: Investment Adviser
The argument that a CEO shouldn't also be a firm's CCO got a lot stronger as the SEC has mandated that a specific adviser must create a CCO position f...
2/04/2013 | Content area: Investment Adviser | Broker-Dealer
A fiduciary faces a responsibility to be aware of conflicts of interest and to deal with them and perhaps no situation creates one more than an invest...
11/05/2012 | Content area: Investment Adviser
Two recent SEC enforcement cases against advisory firms show you'd be wise in choosing your words carefully - especially when disclosing details to cl...
8/13/2012 | Content area: Investment Adviser
It appears as a constant challenge: how can you satisfy your obligation to seek best execution when transparency lacks in fixed-income transactions li...
5/14/2012 | Content area: Investment Adviser
Brokers may be directing your trade executions through certain exchanges because they're getting rebates that could increase trading costs by $5 billi...
3/12/2012 | Content area: Investment Adviser
One adviser holds an annual meeting to examine best execution. Another occasionally checks in with traders and the portfolio manager. A third employs ...
11/01/2010 | Content area: Investment Adviser
SEC rules don't spell out how to obtain best execution but your fiduciary responsibilities require you to try to achieve the best deal for clients.Thi...
3/08/2010 | Content area: Investment Adviser
Satisfying SEC examiners when it comes to best execution could be as simple as having a process that seeks best execution and routinely following it b...
4/27/2009 | Content area: Investment Adviser
Confidence doesn't exactly ooze from those charged with valuing bonds, especially the municipal variety, and the economic times are conspiring to make...
4/06/2009 | Content area: Investment Adviser
Perhaps you're asking "what best execution committee?" So let's start there. Create a best execution committee, states J. Christopher Jackson, directo...
© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US