Best Execution Software

Our Best Execution Software Solution helps investment managers meet their SEC and FCA obligations to seek Best Execution of their clients’ trade orders by evaluating not only the cost of services received from all their broker-dealers, but also the quality of those services.

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Best Execution Laptop

Automate your fiduciary duty to Best Execution with ComplianceAlpha®.

Our RegTech solution combines both the qualitative and quantitative factors required for a comprehensive quarterly report.

Key features


A repository of tasks in a sequential order according to ACA’s best practices on how and what to do to create a compliant Best Execution review.

Survey Manager

A flow to create custom broker surveys and manage the results.

Quantitative Metrics

Full Transaction Cost Analysis KPIs and other metrics to compare to surveys and other noted broker-related activities.

Items of Interest

Identification of relevant outliers during the Best Execution review. 

Flexible Configurations

Configurations for the Workbench, Broker List, and Survey Manager templates.

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  • Allows clients to centralize and streamline their fiduciary duty to seek Best Execution, combining both the qualitative and quantitative factors required for a comprehensive quarterly report.
  • Integrates with ComplianceAlpha’s Employee Compliance and Market Abuse Surveillance solutions to facilitate the exchange of critical data.
  • Enables clients to quickly identify potential conflicts of interest related to their Best Execution review.
  • Assists with reviewing Best Execution factors, such as Transaction Cost Analysis (TCA), broker surveys, conflicts of interest, soft dollar arrangements, and other agreements.
  • Reduces cost and time of ownership