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Nov 2013
20
November 20, 2013

Investment Adviser Association 2013 Fall Compliance Workshop: Best Execution and Trading Practices

Serving your clients . . . while preparing for your regulators


Written policies and procedures need to be developed and implemented by advisers to periodically and systematically assess their brokerage selection and placement practices. Unless investment advisers identify and disclose to clients the qualitative factors that significantly influence their brokerage placement practices, advisers risk being judged by the SEC and potential client litigations solely on the cold, hard numbers that new tools provide in fact-driven analysis. Shane explores this issue and what happens when that data is used and analyzed. Read the full article here.

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