Best Execution eLearning
Overview
This Best Execution eLearning module explains the Financial Conduct Authority (FCA) rules and regulations relating to best execution.
The course also highlights the practical steps that staff should take to ensure that they obtain the best possible results for clients when they are executing client orders.
Learning Outcomes
- Know what best execution is
- Understand the regulatory framework in relation to best execution
- Identify when a firm owes a duty of best execution
- Describe the steps a firm should take to obtain the best possible results for clients (i.e. what execution factors should be considered and how the execution criteria should be used to determine their relative importance)
- Describe the key policies and procedures firms should implement (e.g. best execution policy, governance and monitoring)
- Be able to apply their knowledge to practical scenarios
Course Details
- What is best execution?
- Key obligations relating to best execution
- Policies, monitoring and governance
- Putting it into practice
- Conclusion
- Assessment
Delivery
Have the flexibility to deliver your In-House training in-person by one of our trainers at your premises, or virtually via Zoom, Teams or Webex.
Find out more about your Virtual or In-Person training experience below.
Virtual Delivery
Our virtual training courses are designed to be every bit as engaging as our in-person courses. To achieve this, our trainers use market-leading technology and a range of training techniques to ensure high levels of interaction with participants. Courses include the use of:
- Virtual ‘break-out’ rooms: participants are divided into virtual rooms to facilitate small group discussion.
- Polling: multiple-choice questions, answered anonymously, allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to highlight the practical application of theoretical knowledge.
- Messaging: participants can submit questions and comments, either to the whole group or privately to the trainer.
Additional Benefits:
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Recording: public course participants have the option to access a recording of the course for one month after the course. In-House clients also have the option to record their training for an additional fee.
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On-going Q&A: public course participants can access an ongoing Q&A facility allowing them to ask questions relating to the course.
In-Person Delivery
Our in-person training is delivered face to face at your offices, and includes:
- ‘In-the-moment’ questions & discussions: questions through conversations allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to explore practical application of theoretical knowledge.
- Q&A: participants can ask questions during training, either to the whole group or privately to the trainer.