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The Journal of Portfolio Management

The Journal of Portfolio Management

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Primary Article

New Frontiers in Compliance

Paul A Samuelson and Evan Schulman
The Journal of Portfolio Management Summer 2005, 31 (4) 44-47; DOI: https://doi.org/10.3905/jpm.2005.570148
Paul A Samuelson
Director of research at Upstream Technologies, LLC, in Boston. psamuelson@upstream.net
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  • For correspondence: psamuelson@upstream.net
Evan Schulman
Chairman of Upstream Technologies, LLC. eschulman@upstream.net
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  • For correspondence: eschulman@upstream.net
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Abstract

In an era of increased regulatory oversight (not to mention litigious clients), compliance procedures need to be forward-looking, complete, scalable, and part of the order generation process. Compliance officers and fiduciaries must have simple, understandable documented evaluations of 1) where their portfolios were, and are, in risk-return space, and 2) all trades, detailing their effect upon portfolios in terms of risk and return (and taxes, if applicable) along with a statement or code regarding their relationship to any investment restrictions.

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The Journal of Portfolio Management
Vol. 31, Issue 4
Summer 2005
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New Frontiers in Compliance
Paul A Samuelson, Evan Schulman
The Journal of Portfolio Management Jul 2005, 31 (4) 44-47; DOI: 10.3905/jpm.2005.570148

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New Frontiers in Compliance
Paul A Samuelson, Evan Schulman
The Journal of Portfolio Management Jul 2005, 31 (4) 44-47; DOI: 10.3905/jpm.2005.570148
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