Chicago partner Jim Lundy will speak on “Trading Practices, Portfolio Compliance and Related Enforcement Cases” and “Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage” at the Chicago Investment Adviser Compliance Symposium on July 17, 2019, cosponsored the by Investment Adviser Association and NRS.

 

Managing a client portfolio within regulatory limitations and requirements is one of the most important fiduciary responsibilities of an investment adviser and is also ripe for potential compliance issues. In his first course, “Trading Practices, Portfolio Compliance and Related Enforcement Cases,” Jim and his copanelist will outline critical risk areas in portfolio compliance and will provide suggestions for best practices.

 

In his second course, “Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage,” Jim will lead the discussion on “best execution” and will also detail how robust policies, procedures, and practices can support an investment adviser’s compliance accordingly, along with how to identify, mitigate, and manage potential conflicts of interest in said practices.
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