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Best Execution Organized

Regulators give little specific guidance to Investment Advisors on how to achieve Best Execution. MiFID II helped to clarify European requirements. FINRA Rule 5310 is there for brokers, but is still open to significant interpretation. Both Advisors and Brokers have adopted similar approaches, which generally involve regular and rigorous review through Best Execution Committees.

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Plia can help both Investment Advisors and Brokers to replace informal and haphazard processes with a new standard of organization and management. Whether you're focused on MiFID II / SFC Code of Conduct, or you're in the US and trying to navigate vague regulation and guidance, Plia has features and tools to help.

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Best Execution Committees need to be organized, and Plia can help with:

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  • Trade error tracking and reporting

  • Gifts and Entertainment tracking and reporting

  • TCA integrations for automated trade outlier analysis and reporting

  • Regional and asset class-focused market structure updates, broker-specific enforcement action review

  • Storage of Best Execution Committee minutes, flagging and assignment of follow-up items

  • Best Execution Committee material generation and distribution

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