Steve Stone presented on "Trading Practices and Conflicts: Achieving Operational Efficiency While Meeting Fiduciary Duty."
In today's trading environment, in which securities prices swing at ever-increasing speeds, advisers must explore new ways of documenting the firm's investment selection and trading processes while making sure that the traders operate at peak efficiency. This session reviewed fiduciary responsibilities and looked at ways to make certain that records can demonstrate that each trade was made with the client's best interests in mind.
Key topics included: