04/12/2010
Click here to open an Excel worksheet designed to track the top 10 brokers selected for best execution purposes, including listing soft dollar percentages and average commission per share.
Indexed by:
3/8/2010
Satisfying SEC examiners when it comes to best execution could be as simple as having a process that seeks best execution and routinely following it because "that's what we look for" during exams, said Kevin Goodman, associate regional director of the SEC's Denver Regional Office.Also conduct "perio ...
Indexed by:
4/27/2009
Confidence doesn't exactly ooze from those charged with valuing bonds, especially the municipal variety, and the economic times are conspiring to make the task harder for investment advisers.The credit rating of some bond insurers have been lowered, potentially triggering advisers to liquidate if th ...
Indexed by:
4/6/2009
Perhaps you're asking "what best execution committee?" So let's start there. Create a best execution committee, states J. Christopher Jackson, director and head of U.S. Retail Legal at Deutsche Asset Management in New York.Jackson spoke at IA Week/IAA's IA Compliance Best Practices Summit last month ...
Indexed by:
9/8/2008
Growing concerns about the true value of certain securities, especially the illiquid kind, can cause trepidation, just ask anyone considering selling their house these days. When you're an adviser and you don't think your custodian's passing on accurate values, you need to take a closer look.Actions ...
Indexed by:
6/30/2008
What a bind. You must seek best execution for bonds but there's no consensus around how to do this. Sure, you probably follow the three quotes' rule - or try to - but is that enough? Here are some pointers to accomplish best execution.For one thing, consider spending a full day on the fixed-income t ...
Indexed by:
5/12/2008
Failure to tailor an off-the-shelf compliance manual to the firm's actual business and failure to devote sufficient resources to compliance are among the chief deficiencies found in examinations of small adviser firms, according to SEC information distributed at a recent CCOutreach regional program. ...
Indexed by:
5/12/2008
Issues tied to the compliance program rule continue to be one of the top deficiency areas found by SEC examiners, according to those attending a recent CCOutreach regional program. SEC officials listed six other areas showing numerous deficiencies - including information disclosure and privacy prote ...
Indexed by:
03/01/2008
Indexed by:
03/01/2008
Indexed by: