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Effecting Client Transactions under the Investment Advisers Act

TERRANCE J. O'MALLEY (Senior associate at Davis Polk & Wardwell. William A. Braverman, also a senior associate at Davis Polk & Wardwell, assisted in the preparation of this article.)
THOMAS J. SMITH (Vice president and the director of institutional investment management compliance for J.P. Morgan Investment Management Inc.)

Journal of Investment Compliance

ISSN: 1528-5812

Article publication date: 1 February 2000



This article outlines, in a very practical manner, the various methods available to investment advisors when trying to effect securities transactions for their clients. The authors examine several different ways the transactions may take place while describing in detail the pitfalls and concerns that must be considered by the careful practitioner. It also contains helpful illustrations to understand the transactions.


O'MALLEY, T.J. and SMITH, T.J. (2000), "Effecting Client Transactions under the Investment Advisers Act", Journal of Investment Compliance, Vol. 1 No. 2, pp. 29-39.




Copyright © 2000, MCB UP Limited

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