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


 
PORTFOLIO MANAGEMENT OVERVIEW
Managing portfolios provides la raison d'être for investment advisers. The purpose of the entire business is to help either generate returns or maintain a portfolio’s value.
 
It’s one of the reasons why the SEC’s compliance rule recommends advisers create compliance P&Ps for portfolio “management processes, including allocation of investment opportunities among clients and consistency of portfolios with clients’ investment objectives, disclosures by the adviser, and applicable regulatory restrictions.”
 
This is another area rife with conflicts. They include many that would be seen in trading, e.g., allocating trades that consistent favor one client over another or saving successful trades for the adviser and shuffling inferior ones to clients.
 
Testing and monitoring portfolio management for signs of trouble make up a key task of compliance staff.

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