Soft Dollar Arrangement
An arrangement in which the fund uses clients' money to pay for third-party and proprietary research.
This one is not written up yet
The definition above is the short version. A full explanation — how it works, a worked example and the exam traps — is still being written. In the meantime the chapter below covers it in context.
Written up from the same chapter
- In-person verificationThe mandatory step in which an authorised official physically confirms that the person opening the account is the person in the KYC documents, and records who did it, when, and in what capacity.
- Structured digital databaseThe tamper-evident internal register every handler of unpublished price sensitive information must maintain, recording the nature of the information and the PAN of everyone who shared it and received it.
Where this is taught
- Series XIX-B · Chapter 10: Good Practicesintroduced here
- Series XIX-A · Chapter 13: Good Practicesintroduced here
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