To view this content, you need to sign in.
You should only be asked to sign in once. Not the case? Click here
Register now to access this content and more for free.
Cross and principal trade best practices
The most embarrassing evidence examiners uncovered was firms that prohibited such trades yet were unaware that “these trades had occurred.” The risk alert encourages best practices, such as testing to monitor whether your traders are complying with your own P&Ps as well as the rules around cross and principal trades
