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