Trading

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.