Tag: Cross Trading
New Risk Alerts Focus on Wrap Fee Programs, Principal and Cross Trades
New Risk Alerts Focus on Wrap Fee Programs, Principal and Cross Trades July 22, 2021 The SEC’s Division of Examinations has issued two risk alerts describing the staff’s observations...
July 22, 2021
Tags: Compliance Policies, Conflicts of Interest, Cross Trading, Disclosure, SEC Examinations, Wrap Fees
Cross Trading By Richard D. Marshall, Partner, Katten Muchin Rosenman LLP* March 23, 2021 Richard D. MarshallKatten Muchin Rosenman The regulation of cross trading is a surprisingly complex area of...
March 23, 2021
Tags: Columns, Compliance Corner, Cross Trading
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