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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