Best Execution Software
Our Best Execution Software Solution helps investment advisers meet their obligation 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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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.
Benefits
- 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
Featured RegTech insights
Proposed Regulation Best Execution Standard
The SEC proposed new regulations requiring broker-dealers to establish policies on conflicted transactions, assess execution quality, and preserve regulation compliance records, among other specific provisions.
- Compliance
- SEC
Revisiting Best Practices for Trade and Market Abuse Surveillance (Downloadable Checklist)
We examine recent regulatory events around trade surveillance and market abuse and provide best practices that can be applied to your firm’s surveillance program.
- RegTech
- COVID-19
- Trade Surveillance
OCIE Risk Alert Highlights Private Fund Adviser Deficiencies Related to Conflicts of Interest, Fees and Expenses, and MNPI / Code of Ethics
OCIE’s latest Risk Alert details observations from examinations of private equity funds and hedge funds.
- Compliance