Hedge Fund Compliance by Jason A. Scharfman
Author:Jason A. Scharfman [Scharfman, Jason A]
Language: eng
Format: epub
ISBN: 9781119240266
Publisher: Wiley
Published: 2016-12-27T00:00:00+00:00
Procedures for Portfolio Managers for Trade Aggregation and Allocation:
Portfolio managers are primarily responsible for making trade aggregation and allocation decisions in accordance with this policy.
Prior to including an account in a trade, the portfolio manager is required to determine that the trade is appropriate and permitted for each account that will participate, and that the hedge fund will receive no additional compensation as a result.
The portfolio manager and the trader(s) will maintain precise books and records for each trade aggregation and allocation.
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