Complying with pretrade rules challenges some buy-side firms

06/17/2014 | MarketsMedia

Regulations governing pretrade compliance have been a challenge for certain buy-side firms. "For managers that use leverage, are long/short, use forward settling instruments, utilize credit default swaps, interest rate swaps and other types of derivatives, new regulations [have] challenged firms' compliance programs as well as order management compliance systems," said Steve Hedger, director of trading and investment operations at Fifth Third Asset Management successor ClearArc Capital.

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