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Cross-Trades

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 ...
Nearly two-thirds of the examined advisers received staff-issued deficiency letters, which addressed the staff’s observations regarding a variety of topics. However, the vast majority of ...
The SEC's adoption of the valuation rule has generated questions about its impact on cross trades
Sideletter
"I look forward to hearing insights from commenters about how we can facilitate fixed income trading in ways that benefit investors and our markets"
If you would like to let the staff know your views regarding these issues, we are providing an email box as a convenient method for ...
A Kansas private fund adviser thought it could save its clients a few bucks but it didn’t properly disclose or manage its cross-trading policies, and ...
Before engaging in a principal trade, an adviser would first have to disclose certain information to the client
$125,000 in fines for failing to obtain client consent
 Investment advisers are struggling with disclosure rules tied to agency cross trades, and when selling or buying securities from their clients—especially when pooled investments are ...
The most frequent principal trading and agency cross transaction compliance issues identified by OCIE staff in examinations of adviser
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