The IAA’s second annual Trading and Best Execution Summit, cosponsored by Capital Markets Strategies, took place on June 18, 2020 in the midst of sweeping SEC initiatives designed to bring significant change to market structure and trading in the United States. The virtual event – attended by more than 300 mostly buyside professionals – focused on how regulatory changes are likely to affect how investment advisers approach and manage their trading and best execution obligations and governance.
Those regulatory changes relate to trade transparency, how information flows from exchanges to the public, and governance of securities information processors (SIPs). Panelists also focused on the management of trading technology and data and automation and developments in the equities, fixed income, and ETF markets.
SEC Commissioner Hester Peirce, Brett Redfearn, the current director of the SEC’s Division of Trading & Markets (T&M), and a panel of former T&M directors led by FINRA’s Chief Legal Officer Bob Colby – himself a former T&M director – headlined an impressive roster of more than 30 industry and regulatory speakers.
VIDEOS OF ALL EIGHT SUMMIT SESSIONS are available online. Access is free to IAA Members and Associate Members.
Trading-Related IAA Webinars
All IAA webinars – live and recorded – are available free to IAA members and Associate Members.
During the coronavirus pandemic, some advisers have experienced higher numbers of trading errors while working remotely. Market volatility has also increased the costs of errors. This July 16, 2020 webinar addressed best practices in error correction, options for advisers to follow, and options offered by brokers.
A recording of the webinar and its presentation slides are available on the IAA Webinars page.
In the first of two webinars cosponsored by the IAA and Capital Markets Strategies, an expert panel addressed Best Execution and Trading considerations during the unprecedented market volatility spawned by the COVID-19 pandemic. This April 2, 2020 webinar focuses on Equities markets. A recording of the webinar and its presentation slides are available on the IAA Webinars page.
This second of two webinars cosponsored by the IAA and Capital Markets Strategies focuses on the impact of the COVID-19 pandemic and the unprecedented market volatility that accompanied it on the Fixed Income and ETF markets. A recording of this April 6, 2020 webinar and its presentation slides are available on the IAA Webinars page.