Trade Compliance from a PM Perspective

Featured in NSCP Currents

Ashu Sharma's article, Trade Compliance from a Portfolio Manager’s Perspectivewas printed in the March issue of NSCP's Currents. Click on the link below for a PDF version of the article.

An interesting dynamic exists between the Compliance team and Portfolio Managers at many investment management rms. Portfolio Managers grumble that the Compliance team is slowing them down with multiple warnings and alerts, whereas Compliance professionals fret when Portfolio Managers insist that Compliance simply “ x it,” regardless of the complexity behind the issues. With few exceptions, this type of environment can o en cause tension between Portfolio Managers and Compliance. Read more....

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