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ACA Spring 2015 Compliance Conference

Speaking Engagement | April 23, 2015

David Dickstein, a partner in the Financial Services practice, will participate in a panel discussion on Thursday, April 23 at 3:50 p.m. (ET). The panel, "Dealing with Trade Errors," will address investment advisers' challenges when dealing with trading and investing errors. Because there is no universally accepted definition of a "trade error," and no industry standard for identifying and correcting such errors, advisers have the flexibility to develop the policies and procedures they deem appropriate. This panel will discuss some of the factors that firms should consider when dealing with trade errors, including calculating losses, client reporting and disclosure and other legal considerations.

To view the presentation slides, click here.

For more information, click here.

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JW Marriott Marquis
255 Biscayne Boulevard Way
Miami, Florida

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