Trading

A chief compliance officer who chooses to keep trading records "in my head" rather than in documents is sure to run into trouble, especially if ...

You can call up a website on the other side of the planet with a click of a mouse, yet you may be surprised by ...

You've heard the message before. Pay attention to compliance or pay. This lesson pops up anew in the travails of Foxhall Capital Management ($27M in ...

Last year, about this time, the SEC delayed the compliance date for broker-dealers to comply with aspects of the agency's large trader rule until this ...

If you're an institutional investment manager with discretion over at least $100 million in such assets, you know you have 45 days after each quarter ...

Click here to open an Excel file that a peer shares. It is a worksheet designed to track key information on trade errors.  

This is a cherry-picking case against a firm, which settled with the SEC.

This hedge fund manager was charged with cherry-picking. The SEC noted the firm lacks relevant compliance P&Ps or a code of ethics that would have ...

It's as constant as the flow of the Mississippi: the stress to chase better returns. The pressure has only hardened in the yo-yo market of ...

The SEC has charged an RIA and its CCO with cherry-picking trades that benefited him at the expense of his clients. The alleged scheme may ...