Best Execution

This dually-registered investment adviser and broker-dealer failed to seek best execution in breach of its fiduciary duty under the Advisers Act and also neglected to ...

This firm settled with the SEC over allegations of a poor compliance shop and disclosure and best execution violations.

A fiduciary faces a responsibility to be aware of conflicts of interest and to deal with them and perhaps no situation creates one more than ...

Two recent SEC enforcement cases against advisory firms show you'd be wise in choosing your words carefully - especially when disclosing details to clients and ...

The entities settled a case that had at its root undisclosed compensation, which was obtained by charging increased commissions on trades for clients through its ...

It appears as a constant challenge: how can you satisfy your obligation to seek best execution when transparency lacks in fixed-income transactions like a ship ...

Brokers may be directing your trade executions through certain exchanges because they're getting rebates that could increase trading costs by $5 billion annually, according to ...

One adviser holds an annual meeting to examine best execution. Another occasionally checks in with traders and the portfolio manager. A third employs historic metrics, ...

This is an example of a questionnaire firms can give to employees to spot potential conflicts of interest. This comes courtesy of Victoria Hogan of ...

SEC rules don't spell out how to obtain best execution but your fiduciary responsibilities require you to try to achieve the best deal for clients.This ...