TOPICS COVERED

Best Execution:
  • Analysis and advice on technology platforms
  • Explaining alternative liquidity (dark/lit/grey pools, MTF’s, SI’s)
  • Guidance on asset allocation shifts and program trades
  • Block trading, moving illiquid positions and other specialist trades
  • Creation of a compliant Commission Management process
  • Understanding the role of CSA’s (Commission Sharing Agreements)
  • Commission rates, their components and the research/execution split
  • Payments to brokers and research providers on a consistent basis
  • Procedures for broker reviews
  • TCA and EVA (Transaction Cost and Execution Venue Analysis)
  • Assessment of staffing needs for the trading desk
  • PA dealing
  • Error policy
  • Hands-on implementation as required

In conjunction with our partners we also deliver:
  • Complete regulatory reviews for Asset Managers and Broker Dealers
  • Procedures, manuals and systems
  • Benchmarking studies/departmental reviews
  • On-going compliance monitoring
  • Skilled Persons Reports (S166)