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Brainstorming on Regulation Best Execution
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Brainstorming on Regulation Best Execution
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Narrated by:
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Written by:
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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