Trading Compliance – Best Execution, Soft Dollars and Directed Brokerage

Tuesday, October 1, 2013

Associate Jon Nowakowski served as a panelist for this webinar, presented by National Regulatory Services Inc.

Compliance, legal, and trading experts offered an overview of the trading process and appropriate best practices, and provide “hands-on” compliance solutions for the following mission-critical areas: best execution, soft dollars, and directed brokerage.

This seminar provided insight into the meaning of “best execution,” and will focus on how strong policies and procedures can help an investment adviser fulfill its fiduciary obligations. Attendees also learned how to identify, mitigate, and manage potential conflicts of interest in the trading process.