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St Bartholomew House 9094 Fleet Street London EC4Y 1DG Tel. +44 20 7832 3500 Fax +44 20 7832 3501 info advicorp.com SUMMARY OF ADVISORS ORDER EXECUTION POLICY The EU Directive 2004×39/EC of 21 April
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Begin by entering the date at the top of the document.
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Fill in the company name and address in the designated sections.
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Provide a brief overview of the purpose of the order-execution policy in the appropriate section.
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Specify the types of financial instruments the policy covers and the markets in which they are traded.
07
Describe the criteria and process for executing client orders.
08
Provide information on any conflicts of interest that may arise in the execution of client orders.
09
Explain how the best possible result is achieved for clients when executing orders.
10
Outline any specific customer instructions that may affect the order execution process.
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Include details on how the policy is reviewed and updated, if applicable.
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Financial institutions such as banks, brokerage firms, and investment companies need the order-execution-policy-summarydoc to outline their procedures for executing client orders.
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Clients or customers of these financial institutions may also need the order-execution-policy-summarydoc to understand how their orders will be handled and the policies in place to protect their interests.
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Regulators and governing bodies in the financial industry may require financial institutions to have an order-execution policy and may request the order-execution-policy-summarydoc to ensure compliance with regulations.
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order-execution-policy-summarydoc is a document that outlines the policy and procedure for executing orders within a company or organization.
Financial institutions and organizations that execute orders on behalf of clients are required to file order-execution-policy-summarydoc.
To fill out order-execution-policy-summarydoc, one must include details on the order execution process, factors considered when executing orders, and how conflicts of interest are managed.
The purpose of order-execution-policy-summarydoc is to ensure transparency and compliance in the execution of orders on behalf of clients.
Information such as order execution process, best execution practices, and conflicts of interest management must be reported on order-execution-policy-summarydoc.
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