Trading Matters for Investment Companies

July 19, 2018 - 11:00 am
Investment Company
Erik Olsen, Director and Vicki Hulick, Senior Principal Consultant

The idea of trading for registered investment company (fund) clients can seem daunting given the wealth of regulations underpinning this investment vehicle. We invite you to join ACA Compliance Group’s Erik Olsen and Vicki Hulick on Thursday, July 19th, 2018 at 11 A.M. EDT as they discuss, and seek to demystify, some of the most common trading concerns (and related areas of interest) facing fund investment advisers and sub-advisers.

Discussion topics will include:

  • Joint transactions
  • Aggregation and allocation of trades
  • Best execution
  • Soft dollars
  • Cross transactions
  • Affiliated transactions

Register here