Delays in actioning trades can significantly disrupt business and impact performance, with an additional compliance burden involved with addressing conflicts of interest and difficulties obtaining consent.  These issues can be alleviated through our Independent Representative services that will ensure full compliance with all relevant regulations.

Whether transactions are taking place between affiliated entities or between vehicles that are both managed by the same institution, independent clearance is required and the regulatory focus on this issue was highlighted by a 2021 SEC alert on common compliance failures in regards to principal traders and agency cross trades.

Calderwood’s professional Independent Representatives are always available to ensure principal and cross agency transactions are cleared and actioned efficiently and effectively to the highest standards.

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