Trading

If your portfolio managers dabble in thinly traded securities, you may want to be on the lookout for heavy buying near a quarter's end as ...

Click here to download a peer's personal trading policy.

You've heard of take-your-kid-to-work day. How about the take-your-trader-to lunch idea?Over the meal, ask the trader to describe the process of working a trade - ...

Are you one of those people who doesn't quite feel alive until you've had that first cup of coffee in the morning? Traders can be ...

Here are some suggestions for how to review the trade blotter courtesy of Victoria Hogan of NorthPoint Compliance in Red Bank, N.J.

It's not possible to generalize about how much information portfolio managers share within their firms. There are too many variables, especially the size of a ...

We've shared techniques your peers use to monitor the trading desk (IA Watch, May 10, 2010). You also may consider simply flipping through the trade ...

You won't find any mention of fair allocation in the Advisers Act but the concept has evolved through SEC no-action letters and enforcement cases, and ...

The heart of your firm beats within the confines of the trading desk, and you have a responsibility to monitor what goes on there. Best ...

Click here to see an Excel spreadsheet from one of your peers that's called a Monthly Portfolio Compliance Report, and allows you to track trades ...