Best Execution eLearning

Overview

This Best Execution eLearning module explains the Financial Conduct Authority (FCA) rules and regulations relating to best execution.

The course also highlights the practical steps that staff should take to ensure that they obtain the best possible results for clients when they are executing client orders.

Learning Outcomes

Know what best execution is
Understand the regulatory framework in relation to best execution
Identify when a firm owes a duty of best execution
Describe the steps a firm should take to obtain the best possible results for clients (i.e. what execution factors should be considered and how the execution criteria should be used to determine their relative importance)
Describe the key policies and procedures firms should implement (e.g. best execution policy, governance and monitoring)
Be able to apply their knowledge to practical scenarios

Course Details

What is best execution?
Key obligations relating to best execution
Policies, monitoring and governance
Putting it into practice
Conclusion
Assessment

Delivery

Our interactive learning is delivered online, so all you need is an internet-connected device – we’ll do the rest.

We handle every part of the set-up process, from customising your individual Learning Management System (LMS), loading staff data, setting up a deployment and reminder schedule and reporting on progress.

In addition, administrators can also have access to all of these tools too, giving you the flexibility to be involved as much or as little as you prefer.