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Topic: Directed Brokerage

Directed Brokerage Requests Carry Responsibilities … and Options

March 11, 2016
A new client wants you to manage its investments. Great. The client specifies that it wants a certain brokerage firm used, or that whatever brokerage firm you use must meet certain criteria. Not so great, because doing so may hamper best execution and itís an administrative headache. But while taking on such a client carries with it certain responsibilities, there are options worth considering that may enhance your freedom of action.

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Directed Brokerage and Best Execution: Protect Yourself

October 18, 2013
It's a conundrum: Your new client wants you to use its long-established broker-dealer to execute all his trades. And he expects you to achieve best execution in managing his account. How can you be sure you meet both obligations?

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Merrill Case Offers Practical Lessons for Advisers

February 13, 2009
A recent SEC enforcement case against Merrill Lynch provides an important reminder for all advisers, large and small, about two key golden rules:

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Compliance in the Midst of a Market Crisis

October 10, 2008
Here is a suggested list of steps to take, tests to perform, and risks to evaluate during the current market crisis.

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An IM Insight Special Report: The Investment Management Agreement -- Part 2: Execution

April 25, 2008

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Interesting Bits From the Form ADV Part 2 Release

March 7, 2008

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California Attorney General and Capital Research Agree to Bury Hatchet

February 29, 2008
After fighting in court for three years over the propriety of certain shelf-space arrangements, Californiaís Attorney General and American Funds adviser Capital Research and Management Company have formally called a truce.

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Best Ex Depends on Facts and Circumstances, Say Experts

February 1, 2008

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