Trade Management Guidelines

 

View the Trade Management Guidelines

The Trade Management Guidelines help firms, investment professionals, and clients better understand the complexities of best execution, the way firms maximize the value of a client's portfolio.

 

What Do the Trade Management Guidelines Cover?

 

• Processes firms use to execute and oversee trades
• Disclosure of those practices and conflicts of interest
• Record keeping.

 

Why Did We Develop These Standards? 

Globalization and regulatory and marketplace changes, advances in technology, and extended trading hours have had a profound impact on trading and how firms seek to obtain best execution. Use of the Trade Management Guidelines will:

 

• Ensure clients receive the highest degree of care through comprehensive controls
• Enhance the oversight of trading