Best Execution

"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

I believe it’s appropriate to look at ways to freshen up the SEC’s rules to ensure that our equity markets reflect our mission: to maintain ...

Broker-dealers have a legal duty to seek to obtain best execution of customer orders....for several years now I have advocated for the Commission to provide ...

A peer shares the RIA's compliance manual, complete with numerous P&Ps

During the Relevant Cash Sweep Period, even though a money market fund that did not result in revenue sharing payments was always available to it, ...

This is a sample best execution policy from a peer

The settlement touches on violations of the adviser's fiduciary duty, undisclosed 12b-1 fees, errant fee calculations, suitability, hidden revenue sharing, conflicts, as well as sweep ...

Largest source of revenue not detailed in retail communications over a three-year period