TOPICS COVERED

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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)