Trading

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

Market manipulation scheme employed by China-based traders

Proposals aimed at improving secondary market structure

This P&P comes courtesy of Michelle Jacko, CEO of Core Compliance and Jacko Law Group in San Diego.

The Ukraine has been getting its fair share of press these days. This time it’s tied to the final judgments against a brokerage firm and ...

Many have struggled to define “best execution” and an SEC Commissioner would like to see the Commission add some clarity. Elad Roisman is urging the ...

Agarwal took short positions in U.S. Treasury Bonds (“USTs”) that exceeded his trading mandate, resulting in large losses. At the same time, Agarwal mismarked certain ...