Compound Growth

© Compound Growth Limited 2012-2017

Best Execution Regulatory Requirements

So, having previously given an Overview of Best Execution, what the rule requires, is that you methodically seek to obtain the best outcomes for your clients on a consistent basis.

To do this you have to:

• Assess what your customers want.
• Devise processes to deliver it.
• Disclose (at least the important details of) your processes to your clients.
• And deliver what you’ve promised by acting in accordance with your policies.

And of course you must:

• Carry out regular monitoring to ensure your procedures are being followed.
• Review your processes as necessary (and at least once a year) to ensure that they are (still) meeting your customers’ needs.

To read more, take a look at our Best Execution Overview.

Best Execution Support:

If you would like to discuss best execution further, please feel free to contact us or email bestexecution@compoundgrowth.co.uk