Trading

While CAT has been firmly established as an operational regulatory reporting system, 2021 will be another important year of milestones for CAT, with transaction reporting, ...

OCIE encourages both investment advisers and broker-dealers to thoroughly review and, where appropriate, amend their supervisory and compliance policies and procedures to ensure compliance with ...

Say, your policy calls for a pro rata allocation. Here’s one example of how this might work

rading and Markets is concerned about illicit activities involving low-priced securities transactions

Engage in forensic testing to spot if some trade errors aren’t being reported. Be clear how you calculate a trade error and keep that documentation

A peer passes along the firm's P&Ps for trade errors

A peer shares the firm's P&Ps related to trade errors

One in five survey respondents indicated an increased interest in investing

Compliance bulletins on manipulative trading techniques seemingly ignored

The misbehavior stopped only when personnel changed on the firm's treasuries desk