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The ruckus stirred by the Robinhood fiasco earlier this year also exposes a risk for compliance officers. Could your access persons evade your personal trading ...
Your job overseeing staff personal trades has grown more challenging with so many new trading apps hitting the marketplace. Here are some you may wish ...
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 SRO suggests broker-dealers review their account approval P&Ps to ensure compliance
Under Asset Manager A’s policies and code of ethics, Wygovsky was required, among other things, to comply with fiduciary obligations to Asset Manager A’s advisory ...
Paris made trades for his personal account and BAM Clients’ accounts using an “omnibus account.” He later distributed those trades to a selected client account ...
The CAT has been determined to meet the standards approved by the SEC
A peer shares the RIA's compliance manual, complete with numerous P&Ps
Check out the format DOE examiners prefer for your trade blotter
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