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Best Execution Compliance Issues – SEC Risk Alert Review

December 18, 2018
1:00 PM - 3:00 PM EST
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Best Execution Compliance Issues – SEC Risk Alert Review

Course Description:

How does an adviser determine if it is obtaining best execution? Each firm must determine the answer for itself based on a variety of objective and subjective criteria. During this course our instructors will review the July 11, 2018 Risk Alert and take a deep dive into the factors that constitute best execution to help you confidently identify them. Through the use of samples and scenarios the practical application of best execution activities will be explored helping uncover the challenges of defining, documenting and reviewing execution quality. Through a frank and forthright conversation about the practical aspects of determining best execution your peers will cover methods for comparing brokers, discretionary versus directed brokerage and soft dollars.

After attending this course, attendees should be able to:

  • Explore the requirements of best execution for Investment Advisers
  • Address the ways that the current best execution risks affect your firm’s practices and the priorities specific to best execution
  • Review regulatory guidance on how to handle the Risk Alert’s top issues
  • Evaluate how your firm’s best execution practices compare with your peers
  • Assess and develop real-world best execution practices
  • Sharpen your skills in performing best execution reviews

For Whom: Designed to increase the professional competence of investment adviser compliance professionals with legal, compliance, operations, technology, administrative and management responsibilities.

Suggested Skill Level: Intermediate

Instructional Method: Group Internet-Based

Pre-requisites for participation: No prerequisites are required.

Advance Preparation: None

NRS Continuing Education Guide
Maximum Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Maximum Recommended IACCP®CE Credit: 2
Maximum Recommended CA MCLE Credit: 2