Independent Representative

Amid the heightened regulatory scrutiny in today’s fast-moving investment markets, investment managers have come to understand and appreciate the benefits of Independent Representative services for principal and cross agency transactions.

Why Calderwood
Independent Representative for principal and cross agency transactions
Avoid difficulties obtaining trade consent
Always available for efficient and effective service
Our process

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.

How we can help
Trade consent

Your team

Laura McGrath
Independent Director
Jason Perras
Independent Director