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Soft Dollars

A peer shares the advisory firm's soft dollars checklist
Create a one-page summary outlining the terms of a soft dollars’ arrangement, including confirmation that the deal fits within the 28(e) safe harbor and have ...
A peer shares this checklist to help you
lending
A peer shares this policy and procedure
The topic of soft dollars has lost some of its luster among examiners but enforcement actions continue to emerge from the agency. Expenses, however, remain ...
An Excel file courtesy of Karen Huey of Professional Compliance Assistance in Woodstock, Ga. The worksheets within this Excel file are designed to help you ...
The relief was due to expire July 3, 2020. It has now been extended to July 3, 2023
In May 2009, JS Oliver requested that the Soft-Dollar Broker reimburse JS Oliver $329,365 using soft dollar credits for a payment to Mausner’s ex-wife based ...
While the Knowledge Leaders Management Committee approved the CIO’s company as a soft dollar recipient and approved the payments made to the CIO’s company for ...
SEC Chairman Jay Clayton has delivered as promised, giving the industry assurances that soft dollar research practices that conflict with the EU’s coming MiFID II ...
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