Abstract
Determining whether or not advisory firms are achieving best execution involves a host of complex issues. Although the U.S. SEC has not issued detailed guidance on what these issues are or how they should be evaluated, the SEC does require advisory firms to evaluate periodically and systematically the quality of executions provided by broker/dealers. The SEC staff has identified several steps that advisory firms may take to ensure that clients are getting best execution. Success boils down to implementing a process to minimize trading costs while obtaining necessary services and making full disclosure of brokerage practices and conflicts of interest.
Sign-in/Register to access full text options 
Talk to us
Join us for a 30 min session where you can share your feedback and ask us any queries you have
Schedule a callDisclaimer: All third-party content on this website/platform is and will remain the property of their respective owners and is provided on "as is" basis without any warranties, express or implied. Use of third-party content does not indicate any affiliation, sponsorship with or endorsement by them. Any references to third-party content is to identify the corresponding services and shall be considered fair use under The CopyrightLaw.
