Trade Management Guidelines Review our Trade Management Guidelines

The CFA Institute Trade Management Guidelines help investment firms, investment professionals, and investors better understand the complexities of "best execution," the trading process that maximizes the value of a client's portfolio.

Read the Trade Management Guidelines (PDF)

What Do the Trade Management Guidelines Cover?

  • The processes firms use to execute and oversee trades
  • Disclosure of those processes and possible conflicts of interest
  • Record keeping standards

Why Did CFA Institute Develop These Guidelines?

Globalization, 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