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Events / The Ritz Carlton - New Orleans, LA

Bridging the Gap – How to Implement Compliance Theory Conference

Event Date

March 18, 2009

Event Time

- 03/20/2009

Read Time

less than 1 minute


Partner David Porteous will present at Ascendant Compliance Management’s Conference, Bridging the Gap – How to Implement Compliance Theory. Mr. Porteous will present on a panel titled, “Trading Series: Compliance Theory Section – Identifying Trading conflicts of Interest.” Topics to be covered include:

  • Managing Trading Compliance Equity and Fixed Income Considerations
  • Best Execution and Reg. NMS
  • Identifying Conflicts of Interest
  • Soft dollars: Evolution of Practices and Commission Sharing Arrangement

Filed under: Litigation

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