Trading

    Investment Company Act of 1940 — Section 10(f) and Rule 10f-3 Columbia Funds December 12, 2011 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...

This is a form, courtesy of Victoria Hogan, president, NorthPoint Compliance in Red Bank, N.J., that can be used when a staffer claims an exception ...

NFA Compliance Rule 2-36(e) places a continuing responsibility on every Forex Dealer Member (FDM) to diligently supervise its employees and agents in all aspects of ...

Avoid pinning blame for trade errors and you could improve your processes in a way that reduces the chances of future mistakes."Coming down on someone ...

With a myriad of platforms available to execute trades and clients dispersed across many of them, it can be a challenge for an adviser to ...

This is a trade rotation policy From Knightsbridge Asset Management in Newport Beach, Calif.

This is an SEC final rule released in July 2011 to foist new reporting requirements on large traders in response to the 2010 “flash crash.”

This is an example of a trade correction policy.

Click here to open an Excel file, courtesy of Garrett Nagle & Co. in Woburn, Mass., that provides an example of how the firm documents ...

Have you checked occasionally the e-mail traffic between your traders and your sales team? This could make a good test for best execution, as the ...