Personal Trading

The personal trading software RMB Capital Management in Chicago purchased last year has saved the firm 0.5 FTE, says CCO Jennifer Rydwelski. "I've gone from ...

Be forewarned that migrating your firm's staff to a computerized trading clearance system will take longer than you expect, but you'll be rewarded with abundant ...

Examples of a quarterly report of personal securities transactions and a personal trading quarterly report form courtesy of Robert Lavigne at GW & WADE in ...

A new product. A new type of security. A revised compensation model within your firm. These are all potential breeding grounds for conflicts of interest. ...

A good code of ethics contains a specific policy directed at personal trading. Enforcing your rules can be helped by asking the right questions with ...

A matrix you can use to track potential conflicts among staff, principals, affiliates and clients.

Investment Advisers Act of 1940 – Rule 204A-1, 206(4)-7 and Section 204A, 203(e)(6) Investment Company Act of 1940 – Rule 17j-1 National Compliance Service November ...

The Securities and Exchange Commission is adopting a new rule and related rule amendments under the Investment Advisers Act of 1940 that require registered advisers ...

No-Action Letter under: Investment Company Act of 1940 – Section 17j and Rule 17j-1 Investment Advisers Act of 1940 – Section 204 and Rule 204-2 ...