See why ACA Insight is the leading newsletter on regulatory compliance. Sign up for a free 1-week trial.

The weekly news source for investment management legal and compliance professionals

News October 5, 2015 Issue

Protect Your Firm from the SEC’s Cherry-Picking Initiative

The SEC is going after firms that misallocate trades to favor certain clients or the traders themselves a practice known as cherry-picking. Chief compliance officers can stay one step ahead of the crackdown by taking steps to ensure they detect the practice before the agency does.

Full contents of this article are only available to paid subscribers.

Subscribe to ACA Insight

Subscribe to ACA Insight for just $1,195! Subscribers receive: 46 electronic issues conveniently e-mailed to your desktops each Friday; access to archives of past stories; and breaking news e-mails.

Subscribe today to the weekly news source for investment management and legal compliance professionals.

Subscriber Log In

Forgot your password? Click Here.