Description
Trading – Checklist for Detecting Cherry Picking is a sample investment adviser form which is a checklist of best practices to assist an investment adviser firm in detecting cherry picking of block trades and IPO allocations.
Initially posted in October 2023. Available to Annual Compliance Program (Bronze, Silver, Gold, Platinum & Titanium Packages) through our Knowledge Base.
Related Resources
Personal Securities Transactions – Checklist for Reviewing PSTs & Holdings
- Included with an Annual Compliance Program (Bronze, Silver, Gold, Platinum & Titanium packages) through our Knowledge Base at https://www.ria-compliance-consultants.com/knowledge-base/personal-securities-transactions-checklist-for-reviewing-psts/
- Available for an a la carte purchase through our Online Store at https://www.ria-compliance-consultants.com/product/personal-securities-transactions-checklist-for-reviewing-psts/
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