Nazareth on Conflicts and Risks
In a July 19 speech
In a July 19 speechbefore 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.