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