Trading Practices, Portfolio Compliance and Related Enforcement Cases

Investment management partner Jeff Blumberg joined a panel titled “Trading Practices, Portfolio Compliance and Related Enforcement Cases” for the Investment Adviser Certified Compliance Professional (IACCP) Program Symposium.

The panel focused on the many client obligations held by investment advisers, including developing, implementing and testing policies, procedures and disclosures to ensure proper trading practices. Blumberg and the panelists provided an overview of best practices, including compliance solutions for the critical areas like fiduciary duty, investment objectives/restrictions, and special considerations for hedge funds.