News & Analysis as of

Fiduciary Duty › Cross Trading

Goodwin

Agencies Publish Notice and Request for Comment on Proposed Interagency Guidance on Third-Party Relationships

Goodwin on

In This Issue. The federal bank regulatory agencies requested public comment on proposed guidance designed to help banking organizations manage risks associated with third-party relationships; the Office of the Comptroller of...more

Kramer Levin Naftalis & Frankel LLP

OCIE Notifies Investment Advisers of Principal and Agency Cross Trading Compliance Deficiencies

Kramer Levin Naftalis & Frankel LLP on

Failures by a number of investment advisers to comply with certain rules governing principal and agency cross trades has prompted the compliance inspections staff of the Securities and Exchange Commission (SEC) to issue a...more

Ballard Spahr LLP

OCIE Issues Risk Alert on Principal and Agency Cross-Trading Compliance Issues

Ballard Spahr LLP on

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a risk alert earlier this month from its national examination program warning investment advisers of the most common...more

3 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide