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Best Execution

Share class selection, fee markup practices, and best execution all cited in enforcement action
In September 2019, after being contacted by Commission staff, Cascade began rebating 12b-1 fees to clients going forward. Cascade has also reimbursed to clients all ...
As an investment adviser, Kestra PWS was obligated to disclose all material facts to its advisory clients, including any conflicts of interest between itself or ...
To meet this fiduciary obligation, Kestra AS was required to provide its advisory clients with full and fair disclosure that was sufficiently specific so that ...
Crown predominantly recommends and invests advisory clients’ uninvested cash in money market funds for which the Clearing Broker has agreed to pay Crown the highest ...
Gensler has asked SEC staff to make best execution recommendations
Intervest and Carson caused certain advisory clients to invest in Standard Units and Fund Class A shares when otherwise identical, but less expensive, Fee Account ...
"It’s interesting to note that the United Kingdom, Canada, and Australia don’t allow broker-dealers to route retail orders to wholesalers in return for payments .... Again, it’s best ...
"Best execution is a nuanced concept .... Of course, no discussion of best execution in the current market environment can disregard the incentives created by ...
This is Janus Henderson Investors' best execution policy
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