Category: Cross Trading
12b-1 Fees | Conflicts of Interest | Cross Trading | Custody | Mutual Fund Regulation | Mutual Funds | NFA
Time to Pay Your Dues, Increase Cross Trade Testing and Disclose Your Conflicts: Regulatory Update November 2018
Photo by Matt Seymour on Unsplash Annual Renewal Program for IARD System: Get out your checkbooks! It is time for the annual renewal of investment adviser (IA) firms and their IA representatives’ (IARs)…