Guidance on frequent-trade monitoring

September 2006
Employee Benefit News;Sep2006, Vol. 20 Issue 12, p74
The article highlights the guidelines issued by the SPARK Institute for frequent-trading monitoring by retirement plan record keepers in order to minimize the number of alternatives required for compliance and thereby reducing administrative complexity and confusion among services providers, plan sponsors and participants in the U.S. Aspects of frequent-trading monitoring that are covered by best practices include round trip identification period.


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