Conquering Current Compliance Challenges
Aug. 14, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
SOFT DOLLARS REGULATORY GUIDANCE
4/09/2012 | Content area: Investment Adviser
What constitutes soft dollar services can sometimes seem as difficult to discern as vanilla against a white background (IA Watch, May 17, 2010). We'll...
3/14/2011 | Content area: Investment Adviser
It's never easy to capsulize soft dollars usage. Take commission-sharing arrangements. This phrase creates confusion because regulators in England tak...
10/26/2009 | Content area: Investment Adviser
The notion of "mixed use" under soft dollars dates to 1986, although some firms remain confused about what fits within the safe harbor. Ironically, so...
8/31/2009 | Content area: Investment Adviser
Here's the scenario. Your firm serves as a sub-adviser on a wrap program's large cap portfolio. The sponsor of the wrap program forbids the use of sof...
7/24/2006 | Content area: Investment Adviser
This is 2006 Commission guidance around soft dollars, best execution and brokerage relationships.
12/27/2001 | Content area: Investment Adviser
SEC Interpretation: Commission Guidance on the Scope of Section 28(e) of the Exchange Act SECURITIES AND EXCHANGE COMMISSION...
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