Portfolio Management

If your firm has never been examined by the SEC, you still may not get a visit even after your number comes up.That's because OCIE ...

SEC settles with Merrill Lynch for violations related to its structuring and marketing of a series of collateralized debt obligation (CDOs) transactions.

Whether it's an e-mail, proxy service, portfolio management, document repository or some other vendor, your firm likely turns to a third-party to house key records. ...

The SEC charged two former traders at JP Morgan Chase & Co. with fraudulently overvaluing investments in order to hide massive losses in a portfolio ...

The SEC charges hedge fund manager with two widespread fraudulent trading schemes spanning nearly four years.

This is a trade rotation policy From Knightsbridge Asset Management in Newport Beach, Calif.

This is an example of a trade correction policy.

Click here to open an Excel file, courtesy of Garrett Nagle & Co. in Woburn, Mass., that provides an example of how the firm documents ...