Professional Services
Your firm faces increased regulatory scrutiny and cost pressures - we can help.
Leverage our targeted or on-going advisory offerings to enhance your best execution capability, or utilize our custom development services to extend the depth of analysis of your existing best execution program.
BEST EXECUTION ADVISORY
Monthly Best Execution Program Review is an extensive overview of 605 or Agency Best Execution performance on a monthly basis for broker dealers or market participants. Our reports can be used for your firm’s Best Execution Committee’s review and usage, and will include:
- Performance trend analysis, outlier identification, and suggestions for improvement of execution quality
- Comparative ranking with peer firms across public statistics (E.F.Q, speed, spread, improvement, and others)
- Creation of custom reports to uncover inferior stock pricing, trading irregularities and other Market Maker/routing venue anomalies
- Comparison of your firm’s peer Market Makers execution performance judged against other Market Centers/peer groups
Quarterly Rule 606 Review: In-depth review of 606 reporting to highlight and mitigate audit risk for firms with 606 posting obligations. This will include:
- Order routing trend analysis and outlier identification
- 606 data verification and adjustment, as necessary
- Route venue verification and correction, as necessary
ON-DEMAND SERVICES
Custom Reports, File Processors and OMS Adapters: Creation of customized reports to meet firm-specific compliance needs; development of File Processors and Order Management System adapters for proprietary client transaction files.
TMMS Data Retrieval: Retrieval of trading data requested by TMMS examiners.
Market Data Research: Retrieval of historical time and sales data for the purpose of compliance research such as Top of Book (TOP) analyses showing how often your firm’s trades are inside the quote or historical Best Bid Offer (BBO) inquiries.
Rule 605 Third Party Audit: Periodic or one-time independent review of externally generated 605 reports by our best execution compliance team.
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