Trade Allocations and SEC Compliance: Technology and Best Practices | WEBINAR
Channel: Portfolio BI
Date: 10/09/2020

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?

Our experts covered:

•Rules for allocation of trades

•Guidelines to follow

•What the SEC wants and looks for

•The technology and tools to manage allocations and compliance
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Moderated by: Craig FitzPatrick, Managing Director, Sales Portfolio BI

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