Trading

A firm going through an SEC exam reports intense interest by examiners at what wrap fee sponsors are doing to monitor step-out trades by subadvisers. ...

Michael Lewis's book Flash Boys has had a profound effect on Craig Watanabe, COO at Penniall & Associates ($851M in AUM) in Pasadena, Calif. He ...

The SEC prosecuted an alleged “cherry-picking” scheme that garnered nearly $2 million in illicit profits.

Perhaps you've mulled the best practice Margaret Hornbeck accomplished after we recently revealed OCIE's new 27-item trade blotter template (IA Watch, April 28, 2014). The ...

IA Watch has obtained copies of requests from SEC examiners that ask firms to provide more extensive data when sharing their trade blotters. One document, ...

Click here to open a Word document that comes from an SEC document request of an adviser during an exam. This document lays out the ...

This is an SEC document request letter sent to an advisory firm from the Los Angeles Regional Office. Note the new trade blotter layout in ...

Depending on how you see it, high-frequency trading is either risky legalized front-running or a low-risk way of providing liquidity to the markets.That's how Louise ...

Swenson lnvestments failed to observe high standards of commercial honor and just and equitable principles of trade by treating the "hedge accounts" of certain customers ...

    Investment Company Act of 1940 – Section 7 and Rule 3c-5 Managed Funds Association February 6, 2014 Response of the Investment Adviser Regulation ...