IA- Investment Adviser Best Execution Review Checklist

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The Updated Investment Adviser Best Execution Review Checklist is a useful tool and guide when meeting the requirements for conducting an annual best execution review that is reasonably designed to assist investment advisers in reviewing their trade activity and their obligation of providing best execution for client transactions.  The Checklist assists investment advisers in testing the range and quality of a broker-dealer's services when placing transactions, including, among other things, execution capability, commission rate, financial responsibility, responsiveness to the adviser, and the value of any research services provided.

Version/Update: V.4/Nov. 4, 2020

Total Page Count/Format: 8/.pdf (form filler)

Source/Author(s): Connexien