Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Trading (131)
Your search for Trading returned 131 results.
Sorted by Date

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...
9/27/2018 | Content area: Investment Adviser
The end of September represents the end of the SEC’s 2018 fiscal year and the inevitable analysis of its Enforcement Division’s statistics. But the di...
9/27/2018 | Content area: Investment Adviser
The manner in which Harrison effected the trades on behalf of Putnam resulted in undisclosed favorable treatment of certain advisory clients over othe...
9/20/2018 | Content area: Investment Adviser
Perkins reaped substantial profits at his clients' expense by cherry-picking trades. Perkins allegedly traded securities in World Tree's omnibus accou...
8/27/2018 | Content area: Investment Adviser
Respondents marketed all of the Products and Strategies as “managed using a proprietary quant model,” and highlighted, when marketing certain of the P...
8/23/2018 | Content area: Investment Adviser
Cross trading practices inconsistent with its compliance P&Ps, regulatory compliance manual and Forms ADV have yielded SEC charges against a New York-...
8/17/2018 | Content area: Investment Adviser
BKS had a compliance manual that included a policy for “Block Order Allocation.” This policy required that “All block order allocations will be fair a...
8/17/2018 | Content area: Investment Adviser
Denha allocated a greater proportion of profitable trades, i.e., trades that increased in price from the time of purchase in the omnibus account to th...
7/12/2018 | Content area: Investment Adviser
The Commission’s complaint alleged, in substance, that from at least January 2012 through July 2016, Strong Investment Management (“Strong”) and its c...
6/05/2018 | Content area: Investment Adviser
This proceeding arises from Freeman’s “cherry-picking” of profitable trades to benefit himself. From at least July 17, 2012, through mid-September 201...
5/31/2018 | Content area: Investment Adviser
What punishment would you mete out to staff who ignored your firm’s trading policies? A new SEC OIG report to Congress shows the Commission suspended...
3/15/2018 | Content area: Investment Adviser
An SEC enforcement initiative aimed at combatting “cherry-picking” continues to bear fruit. The initiative—led by the Commission’s Los Angeles Regiona...
3/08/2018 | Content area: Investment Adviser
This proceeding arises out of a fraudulent “cherry-picking” scheme carried out by Valor Capital Asset Management, LLC (“Valor”) and its principal, Rob...
2/21/2018 | Content area: Investment Adviser
The complaint alleges that for more than four years, Bronson traded securities in Strong's omnibus account but delayed allocating the securities to sp...
2/15/2018 | Content area: Investment Adviser
The SEC’s FY 2019 budget request tackles a three years running flat budget and two-year hiring freeze in a bid to stay on top of the growing and ever-...
2/15/2018 | Content area: Investment Adviser | Broker-Dealer
Deutsche Bank Securities will be reimbursing certain of its commercial mortgage-backed securities customers who overpaid for CMBS after being misled a...
2/14/2018 | Content area: Investment Adviser
The Securities and Exchange Commission has obtained a final judgment against a Massachusetts-based portfolio manager at a major asset management firm ...
1/16/2018 | Content area: Investment Adviser
A peer shares the RIA's compliance manual, complete with numerous P&Ps.
12/08/2017 | Content area: Investment Adviser
Check out this sample of a best execution policy.
10/26/2017 | Content area: Investment Adviser
Krueger favored his personal accounts over discretionary brokerage customer and advisory client accounts when he executed day trades or delayed alloca...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US