Tech-Enable Your Best Execution Analysis


As a fiduciary, when an adviser has the responsibility to select broker-dealers and execute client trades, they have an obligation to seek "Best Execution" of client transactions, taking into consideration the circumstances of the particular transactions. In addition, advisers are expected to demonstrate that they periodically and systemically evaluate the execution performance of broker-dealers used to execute client transactions.

Watch our webcast to learn how technology can help you streamline the Best Execution review process and meet regulatory requirements.

Discussion Topics

  • Global Best Execution regulatory expectations and best practices
  • Common challenges with meeting those expectations
    • Accessing and aggregating necessary data
    • Tracking and measuring impact of qualitative/contextual information
    • Documentation
  • How technology can assist with these expectations and strengthen your compliance program
  • A brief demo of ACA's Best Execution solution in ComplianceAlpha®


  • Leigh Emery, Managing Director, Product Management, ACA Group
  • Cari Hopfensperger, Director, U.S. Regulatory Compliance, ACA Group
  • Douglas Kamin, Managing Director, U.S. Regulatory Compliance, ACA Group
  • Charlotte Longman, Director, UK Regulatory Compliance, ACA Group
  • Kyle Strong, Director, Sales Engineering, ACA Group