Practical Trade Desk Oversight

When people think of an Investment Adviser, their first notion would likely be of the trading desk. The desk is where the “rubber meets the road” in the investment world. All other activities within the IA serve to support trading activity and the selection of one investment possibility over another. It is on the trading desk that the ideas of an Investment Committee or a portfolio manager come to life. The trading desk is where the theory of returns becomes a reality. As such, the trading desk is a place of great importance and must be supervised accordingly.

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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

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