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News July 25, 2005 Issue

Nazareth on Conflicts and Risks

In a July 19 speech before the SIA’s compliance and legal division, Division of Market Regulation director Annette Nazareth touched on issues that may be of interest to advisers:

  • conducting a conflicts review;
  • conflicts related to proprietary trading desks;
  • conflicts related to fixed income trading; and
  • risks facing broker-dealers that serve as hedge fund prime brokers.