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Before engaging in a principal trade, an adviser would first have to disclose certain information to the client
Firm made misrepresentations about how it handled certain trade orders
Clients, however, did not have this information available to them because execution costs from trading away were not visible to clients on their account documents ...
This is an example of a trade ticket submitted by a peer
Submissions contained missing or inaccurate data for nearly five years
A peer shares a sample trade allocation policy
Check out this sample of a best execution policy
The rule amendments initially advanced in 2016 have been a long time coming
The adviser didn't disclose that some Clients paid a lower commission rate than others
Channing did not disclose to all affected Clients that some Clients in certain block trades paid a lower commission rate than other Clients who participated ...
Enforcement stepping up interest in churning
An example of a compliance policy and procedures
Market manipulation scheme employed by China-based traders
Proposals aimed at improving secondary market structure
This P&P comes courtesy of Michelle Jacko, CEO of Core Compliance and Jacko Law Group in San Diego.
The Ukraine has been getting its fair share of press these days. This time it’s tied to the final judgments against a brokerage firm and ...
Many have struggled to define “best execution” and an SEC Commissioner would like to see the Commission add some clarity. Elad Roisman is urging the ...
Agarwal took short positions in U.S. Treasury Bonds (“USTs”) that exceeded his trading mandate, resulting in large losses. At the same time, Agarwal mismarked certain ...
SEC Obtains Final Judgments and Bars Against Former Investment Adviser and Senior Officers for Fraudulent "Cherry-Picking" Scheme Litigation Release No. 24615 / September 25, 2019 ...
The Commission’s complaint alleged, in substance, that from at least January 2012 through July 2016, Strong Investment Management (“Strong”) and its co-founder, owner, president, and ...
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