Trading

Clients, however, did not have this information available to them because execution costs from trading away were not visible to clients on their account documents ...

This is an example of a trade ticket submitted by a peer

Submissions contained missing or inaccurate data for nearly five years

A peer shares a sample trade allocation policy

Check out this sample of a best execution policy

The rule amendments initially advanced in 2016 have been a long time coming

The adviser didn't disclose that some Clients paid a lower commission rate than others

Channing did not disclose to all affected Clients that some Clients in certain block trades paid a lower commission rate than other Clients who participated ...

Enforcement stepping up interest in churning

An example of a compliance policy and procedures