SEC examiners will want to see evidence that you’ve compared client trades with staff personal transactions, so be sure to have 'a complete trade blotter'
The Commission may have gotten tipped off by suspicions of Bell Rock’s trading by its unidentified custodian, which terminated its relationship with the adviser over ...
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 ...
Compliance can generate commission reports as well as the average cents per share the firm pays. Finance or operations could show a list of vendors ...