Trade Allocations and SEC Compliance: Technology and Best Practices

Overview

Hosted By:

Portfolio BI

Are your firm’s trade allocation practices and technology in order? Join our experts September 10th at 12PM Eastern for this event as we cover the technology and tools needed to manage allocations and compliance.

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Details

Date:

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Location:

Zoom

Time:

12 PM EST

Duration:

30 minutes

Cost:

Free

Description

Intentional or not, “Cherry Picking’ only “harvests” one thing - undue scrutiny from the SEC. In a private fund risk alert dated June 23rd of 2020 the OCIE sites three general areas of deficiencies in examinations of private fund advisers and that these findings should serve as a wake-up call for private fund advisers. Are your firm’s trade allocation practices and technology in order?

Join our experts September 10th at 12PM Eastern for this event as we cover:

•Rules for allocation of trades

•Guidelines to follow

•What the SEC wants and looks for

•The technology and tools to manage allocations and compliance

Moderated by: Craig FitzPatrick, Managing Director, Sales Portfolio BI

Our Subject Matter Experts
Johan Glozman Managing Director, Head of Product Portfolio BI
Greg Mekanik. Partner at ACA Compliance Group

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