Brainstorming on Regulation Best Execution

Fines & Wines

Jan 5 2023 • 15 mins

Listen in as TRADEliance brainstorms their comment letter for the Regulation Best Execution Proposal!  Topics discussed include:

  • The Antifraud Provisions of the Exchange Act as the mechanism for enforcement
  • Conflicted Transactions
  • Impacts to Introducing Brokers
  • Use of Last Look
  • The need for consistency in definitions

Read the Proposal here.

www.tradeliance.com

TRADEliance consultants have the knowledge and first hand experience to improve your firm's trading operations or compliance processes.

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