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TRADE REPORTING SERVICES ADDENDUM Please complete this Trade Reporting Addendum and return it, via post or email, to: BATS Trading Limited 6th floor, 10 Lower Thames Street, London EC3R 6AF, UK 1.
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How to fill out client order routing addendum
How to fill out client order routing addendum:
01
Review the document: Start by carefully reading and understanding the client order routing addendum. Familiarize yourself with its purpose and the required information to be provided.
02
Gather necessary information: Collect all the necessary information required to fill out the addendum. This might include client details, account information, order routing preferences, and any additional instructions.
03
Complete client details: Begin filling out the addendum by providing the client's name, contact information, and any other requested identification details.
04
Account information: If applicable, provide the relevant account number or identifier associated with the client's trading account.
05
Order routing preferences: Indicate the client's preferred order routing methods or preferences, such as specific exchanges or electronic communication networks (ECNs), if applicable.
06
Additional instructions: If there are any specific instructions or limitations regarding the client's order routing, make sure to clearly state them in the appropriate section.
07
Review and sign: Once you have completed all the necessary sections, carefully review the addendum to ensure accuracy and completeness. If required, seek clarification or assistance from relevant parties. Finally, sign and date the document.
Who needs a client order routing addendum?
A client order routing addendum may be required by individuals or entities engaged in trading activities, particularly in the financial industry. This may include:
01
Individual investors: Clients who engage in buying and selling securities or other financial instruments may need to fill out a client order routing addendum.
02
Institutional investors: Investment firms, asset management companies, or hedge funds that execute trades on behalf of their clients may also require a client order routing addendum.
03
Brokerage firms: Brokerage firms or online trading platforms that offer trade execution services to their customers may have a requirement for clients to fill out a client order routing addendum.
In summary, individuals or entities involved in trading activities and who wish to specify their order routing preferences or instructions may need to fill out a client order routing addendum.
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What is client order routing addendum?
Client order routing addendum is a document that specifies how client orders will be routed by a brokerage firm to various execution venues.
Who is required to file client order routing addendum?
Brokerage firms and investment firms are required to file client order routing addendum.
How to fill out client order routing addendum?
Client order routing addendum can be filled out by providing details on how client orders will be handled, routed, and executed.
What is the purpose of client order routing addendum?
The purpose of client order routing addendum is to ensure transparency and disclosure of how client orders are executed.
What information must be reported on client order routing addendum?
Client order routing addendum must include information on execution venues, routing practices, order handling procedures, etc.
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