H2 Headline

The Compliance Officer is the responsible person for ensuring that this policy is followed, and that Clients are provided with best execution where appropriate. He is additionally responsible for reviewing and updating the policy at least annually, as required by COBS 11.2A.25.

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The Firm expects all staff to continuously monitor client activity for best execution and to report any suspected or potential violations to Compliance. The Firm also utilises external Transaction Cost Analysis (TCA) software (currently the Bloomberg TCA system) to highlight any unusual transactions, as well as alerts generated from the proprietary trade booking system used by the Firm (FlexBook).

H3 Headline

Each day, Compliance must monitor the alerts generated by FlexBook highlighting any transactions that are outside the bid/offer of the market at the time of trade and investigate and document each one to ensure that best execution was provided where appropriate. Any suspected breaches should be escalated to the Compliance Officer.
In addition, Compliance must also monitor the output of the TCA reports covering Best Execution. Any case of potential failure of best execution should be investigated by Compliance and escalated if necessary. Details of each investigation should be recorded and presented to the Executive Body through the monthly monitoring report.

H4 Headline

Each day, Compliance must monitor the alerts generated by FlexBook highlighting any transactions that are outside the bid/offer of the market at the time of trade and investigate and document each one to ensure that best execution was provided where appropriate. Any suspected breaches should be escalated to the Compliance Officer.
In addition, Compliance must also monitor the output of the TCA reports covering Best Execution. Any case of potential failure of best execution should be investigated by Compliance and escalated if necessary. Details of each investigation should be recorded and presented to the Executive Body through the monthly monitoring report.

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