Codes, Standards & Guidelines
The Trade Management Guidelines help firms, investment professionals, and clients better understand the complexities of best execution, the way firms maximize the value of a client's portfolio.
What Do the Trade Management Guidelines Cover?
- Processes firms use to execute and oversee trades
- Disclosure of those practices and conflicts of interest
- Record keeping.
Why Did We Develop These Standards? Globalization and regulatory and marketplace changes, advances in technology, and extended trading hours have had a profound impact on trading and how firms seek to obtain best execution. Use of the Trade Management Guidelines will:
- Ensure clients receive the highest degree of care through comprehensive controls
- Enhance the oversight of trading
Questions? Contact us.