Best Execution Obligations definition

Best Execution Obligations means the best execution obligations of Saxo Bank as provided by the Order Execution Policy, the Best Execu- tion Order, the Investor Protection Order, and MiFID II;
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Best Execution Obligations means the best execution obligations of Muhabura as provided by the Order Execution Policy;
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Examples of Best Execution Obligations in a sentence

  • Discretionary Equity & Bond Trade Tickets 35 Best Execution 35 Best Execution Obligations 35 Rotation of Trades between Institutional, Wrap, and Directed Accounts 36 PENN Capital Management Company, Inc.

  • When dealing with professional clients, we owe Best Execution Obligations where the client is legitimately relying on us in relation to the execution of the order.

  • FINRA Regulatory Notice 15-46 Best Execution: Guidance on Best Execution Obligations in Equity, Options and Fixed Income Markets 3 (2015) (firms “cannot transfer to another person their obligations to provide best execution to their customers’ orders, although other firms may also acquire that best execution obligation [A]broker-dealer that routes all of its order flow to another broker-dealer without conducting an independent review of execution quality would violate the duty of best execution.”).

  • Stanislav Dogopolov, Off-Exchange Market Makers and Their Best Execution Obligations: An Evolving Mixture of Market Reform, Regulatory Enforcement, and Litigation, 17 N.Y.U. J.

  • Best Execution Obligations • We will owe best execution under Applicable Regulations to you in accordance with our execution policy (“Dowgate Order Execution Policy”) as from time to time in effect, a copy of which has been provided to you (and published at www.dowgatecapital.co.uk).

  • In effecting transactions under this Agreement, the Fund Manager shall use all reasonable endeavours to comply with the Best Execution Obligations.

  • Best Execution Obligations and Disclosure We are finalizing changes to 23-101CP that will introduce guidance designed to provide greater clarity for dealers with respect to best execution and accessing marketplaces that a dealer is not required to access for purposes of regulatory compliance.

  • MSRB Implementation Guidance on MSRB Rule G-18, on Best Execution (November 20, 2015), http://www.msrb.org/Rules-and-Interpretations/MSRB-Rules/ General/~/media/860A5596734841799BD1CCDCD533E368.ashx; FINRA Regulatory Notice 15-46, Best Execution, Guidance on Best Execution Obligations in Equity, ii.

  • Impact on Best Execution Obligations One of the key goals of the Proposal is to facilitate the best execution of broker-dealers’ investor orders.24 FINRA strongly supports this goal.

  • Where you direct us to use your own smart order router, we will treat this as a specific instruction which will impact our Best Execution Obligations accordingly.

Related to Best Execution Obligations

  • Best execution means prompt and reliable execution at the most favorable security price, taking into account the other provisions hereinafter set forth. The determination of what may constitute best execution and price in the execution of a securities transaction by a broker involves a number of considerations, including, without limitation, the overall direct net economic result to the Fund (involving both price paid or received and any commissions and other costs paid), the efficiency with which the transaction is effected, the ability to effect the transaction at all where a large block is involved, availability of the broker to stand ready to execute possibly difficult transactions in the future, and the financial strength and stability of the broker. Such considerations are judgmental and are weighed by the Manager in determining the overall reasonableness of brokerage commissions.

  • Obligations means any principal, interest, penalties, fees, indemnifications, reimbursements, damages and other liabilities payable under the documentation governing any Indebtedness.

  • Non-Recourse Parties has the meaning provided in Section 12.16.

  • Conversion Obligation shall have the meaning specified in Section 14.01(a).

  • Acceptable Confidentiality Agreement means a confidentiality agreement that contains provisions that are no less favorable in the aggregate to the Company than those contained in the Confidentiality Agreement; provided that such confidentiality agreement may contain a less restrictive or no standstill restriction, in which case the Confidentiality Agreement shall be deemed to be amended to contain only such less restrictive provision, or to omit such provision, as applicable.