Using an affiliated broker for portfolio transactions. Learn what is allowed and what is not. Learn the most commonly used exemptions and how you can take advantage of them. SEC requirements for cover of segregation. CFTC limits on the use of futures and options on futures.
Quarterly compliance reports to the board.
Hot Portfolio Management Issues Best execution and brokerage allocation. Dealing with violations of investment policies or SEC rules. Restrictions on personal trading by those with fiduciary obligations to the fund. Tailoring the recommendations to your organization. Dealing with third party administration.