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Compliance Considerations for Fixed Income Investments
Compliance Considerations for Fixed Income Investments
 

June 24, 2014

Division
Investment Adviser

Speaker: Shannon Behara, Partner, ACA Compliance Group
Speaker: Derek Meisner, General Counsel and Chief Compliance Officer, Regiment Capital Management LLC


Webcast Discussion Includes:

  • Cross trades and other trading issues
  • Best execution analysis
  • Valuation considerations
  • Risk management