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The weekly news source for investment management legal and compliance professionals

News May 8, 2017 Issue

Follow These Best Practices on the Road to Best Execution

The SEC does not require that advisers achieve best execution when managing transactions for their clients. What it requires is that advisers seek best execution, which it sees as part of their fiduciary duty. That clarification in no way lessens the burden on advisers. If the agency finds an adviser is not seeking best execution, you can expect its enforcement foot to come down hard.

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