If a regulator walked in the door today, would your best execution policies and procedures hold up to an audit? Around the globe, both regulators and investors are raising expectations for transparency and accountability. To keep pace, firms must be able to demonstrate execution quality with defensible evidence.
The right approach can transform raw execution data into insights that reveal trading desk performance, where costs and slippage occur, and what it all means for oversight. By incorporating transaction cost analysis (TCA) alongside qualitative context, such as trader rationale and venue selection, firms can build a more complete picture of execution quality and align with compliance best practices.
Discussion Topics:
- Strengthen oversight across equities, fixed income, FX, crypto, and derivatives.
- Quantify execution quality with reporting that supports regulatory inquiries.
- Detect anomalies such as slippage, outlier trades, and unusual market impact.
- Apply AI-driven context to highlight potential risks and better explain outlier activity.
- Document qualitative factors to support defensible best execution policies and procedures.
Moderator:
- Marc Salter, Global Head of RegTech Sales, ACA Group
Speakers:
- Courtney B. Posner, Partner, Lowenstein Sandler LLP
- David Hintz, Managing Director, ACA Group
Time: 10 a.m. ET
