ASIC Market Integrity Rules (Securities Markets) 2017 (Australia)
Chapter 3: Client relationships, client money and best execution – ASIC Market Integrity Rules (Securities Markets) 2017 (Australia)

ASIC Market Integrity Rules (Securities Markets) 2017 (Australia) 3.9-3.11: Document, follow, review and disclose best execution arrangements and evidence execution performance

A participant must establish, document and implement best execution policies and procedures (venues, order handling and routing, and monitoring), comply with them, review them after material changes or adverse monitoring results, disclose the best execution obligation and venues to clients before their first order, and be able to demonstrate execution performance to clients on request.

Maintained by Gerard Blokdyk

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