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Investment Adviser Compliance Forum: Annual Form ADV Amendments and Related Regulatory Issues

Presented by Katten Muchin Rosenman LLP
Seminar | February 20, 2014

Financial Services attorneys Jack Governale, David Dickstein and Christian Hennion will present Session II of this two-part panel discussion at 5:15 p.m. on Thursday, February 20. “Trading Issues” will address the following topics:

  • best execution;
  • soft dollars and directed brokerage;
  • principal trades, agency-cross trades and cross trades; and
  • trade errors.

Session I, “Portfolio Management Issues,” will take place on Thursday, February 6.

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