Best Execution & Soft Dollars

Best execution encompasses several factors, including: security pricing, commission, execution speed, confidentiality, market depth, capital commitment, recent order flow, knowledge of the other side of the trade and the quality of the broker’s services (such as accuracy, reputation, timeliness and responsiveness).

Within our Best Execution and Soft Dollar section we provide a thorough discussion of how we work in concert with your CCO, law firm and CPA to build a version of TurboCompliance^® which delivers an absolute culture of compliance.

Since this section provides sample compliance procedure language, you must register for a TurboDoc Share Account in order to obtain access; please click here to request access.

In this section we provide a compliance practice guide which addresses:

• Brokerage Committees
• Establishment and use of approved brokers lists
• Execution of client transactions with unapproved brokers
• Soft Dollars
• Section 28(e) Safe Harbor
• Mixed Use Products
• Result of abrogating Safe Harbor
• Soft Dollar Procedures
• Disclosure and Conflicts of Interest
• Recordkeeping
• Enforcement and Required Annual Review