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A peer shares a sample trade allocation policy
“Millions of Americans are committing financial suicide"
Stradley Ronon Stevens & Young, LLP June 24, 2019 Investment Company Act of 1940 – Sections 5(b), 13(a)(1) and 34(b) June 24, 2019 RESPONSE OF ...
Perhaps you want a mobile app to make trades while your toes wriggle in the sand at your favorite beach. Or you’re starting a new ...
Every quarter for the last decade, Jonathan Kaufman has been “getting my fingers” dirty combing and assembling his firm’s trading data to look for trends ...
There’s no debate. Firms can’t use their soft dollars to cover a trade error (IA Watch, Nov. 7, 2011). End all doubt by checking out ...
Investors moving to put their money into companies that do good appears as hot as an Arizona solar panel in July. A new report on ...
Hedge fund advisers lured by rapid growth in the more than $300 billion alternative mutual funds market are increasingly becoming involved with the funds either ...
Former SEC Division of Investment Management Director Norm Champ talks about the hedge fund industry.
SEC Charges Minneapolis-Based Hedge Fund Manager with Bilking Investors and Portfolio Pumping
Adopting a set of compliance policies and procedures that form your firm’s compliance manual makes up only half the battle. The true key is then ...
This hedge fund adviser settled Advisers Act charges related to compliance and trade allocations concerns.
Manually or electronically. Restricted lists or no-holes barred. Pre-clearance or trading freedom. Firm choice and its business often define how your peers set up their ...
Earlier this year, we reported OCIE's sweep of alternative mutual fund advisers (IA Watch, April 28, 2014). Now, SEC Director of Investment Management Norm Champ ...
By the time the SEC had focused its beam on cybersecurity, StephenSmetana had already taken action. The CCO at Angeles Investment Advisors ($1.7B in AUM) ...
They may go by several names, and even have various definitions, but the fundamental component of a wrap fee program is that your client pays ...
Anxiety naturally would come to those advisers that have never been examined but yet realize they may soon be visited given OCIE's new initiative (IA ...
    Investment Company Act of 1940 — Section 15(a) RS Global Natural Resources Fund March 6, 2014 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...
If you're your firm's CCO, know that your letter could be in the mail. Last week OCIE released a three-page letter bound for senior executives ...
If your firm has never been examined by the SEC, you still may not get a visit even after your number comes up.That's because OCIE ...
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