6f. IA/IC/PF – Trading Compliance Issues (Intermediate)

Trading arrangements and practices have increased in complexity for institutional asset managers, investment advisers, private funds, and investment companies. This session will focus on the compliance issues, policies/procedures, controls, and testing related to trading.

Learning Objectives:

  • Identify some of the pre and post trade compliance systems used by firms and describe how the account coding process operates
  • Discuss oversight for brokerage and counterparty relationships including the review and approval, ongoing monitoring and reporting, and governance structure.
  • Understand how to manage and mitigate conflicts of interest related to allocation of investment opportunities, block trading/aggregation, trade allocation, side-by-side management, principal and cross trades, directed brokerage, soft dollars, affiliated transactions, and trade error resolution
  • Learn about evolving issues in best execution, derivative transactions, cross border transactions and regulatory jurisdiction (such as ESMA, FCA, etc.), the use of material non-public information (MNPI), expert networks, alternative data, access to new markets, and use of new security types or products (alternative credit and other less liquid securities)


Sponsored by:

Intermediate                        Program Level: Date: October 20, 2020 Time: 11:45 am - 1:00 pm Amy Lynch Conor Mullan Heather Traeger

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