The Center has testing capabilities in numerous compliance areas. We’d be happy to answer your questions about the scope and data requirements for the types of tests that interest you.

Below is a list of the Center’s testing capabilities:

• Best execution
• Equity
• Fixed income
• Options
• Employee trading restrictions
• Illegal insider trading
• Internal to company domain
• External to company domain
• Portfolio compliance
• Hot issue flagging
• Trade Errors
• Window Dressing

• Trading rotation
• Account dumping
• Trade profitability
• Fair and timely allocation
• Favoritism
• Cross trades
• Performance dispersions
• Money laundering
• Portfolio pumping
• 13G