Monitor and measure execution quality while fulfilling best execution obligations
In today’s rapidly changing regulatory environment, cutting-edge quantitative analytics are critical to success. Market participants need a partner that understands the increasing complexities of the trade execution process and its impact on compliance reporting.
S&P Global offers a comprehensive suite of compliance reporting services including a BestEx platform, SEC Rule 605/606 regulatory reporting and posting, and an integrated compliance workflow solution.
Our BestEx platform is a customizable research and reporting tool, combining comprehensive trading analysis and best execution quality metrics with the defined directives of the SEC. BestEx regulatory reporting includes Rule 605/606 processing and posting capabilities and daily execution reporting with trend analytics.
Through portal-based access, our integrated compliance workflow solution provides customers with a secure, comprehensive console to track the full lifecycle of complex compliance processes, as well as monitor exceptions and updates, and record internal approvals in an integrated system. This streamlines the supervisory process of critical trading functions, aiding with SEC and FINRA compliance and helps to better measure best execution, based on how orders compare to the state of the market before, during and after execution.
Download BestEx Reporting - SEC Rule 605
Download BestEx Reporting - SEC Rule 606