6g. IA/IC/PF Forum – Trading Compliance Issues (SESSION IS FULL!)


Trading arrangements and practices for investment advisers, private funds and investment companies may present potential conflicts of interest for advisers. This session will focus on the complex compliance issues and mitigating controls related to trading by advisers.
Advanced Preparation: None
Pre-requisites for participation: No prerequisites are required
Learning Objectives:
• General brokerage arrangements and trading controls for recordkeeping, testing and reviews, gifts and entertainment on the trade desk.
• Best execution issues and reasonable procedures related to client directed brokerage, FX and fixed income.
• Managing and mitigating conflicts of interest for allocations/aggregation, principal and cross trades, soft dollars, affiliated transactions and trade error resolution.
• Trading specific disclosures and best practices and conducting compliance reviews.

Sponsored by:

Forum                        Program Level: Intermediate Date: October 22, 2019 Time: 11:25 am - 12:25 pm J. Christopher Jackson Robert Tull