This episode takes a slightly different approach!  Listen in as TRADEliance discusses the difference between best ex, fair pricing and reasonable compensation while highlighting some cases that support these differences.  

• Best Execution:  How is the Order Handled ? 
• Fair Pricing: What is the actual price to the client? 
• Reasonable Compensation: What is the BD entitled to charge for that trade? 
• Are you supervising these topics separately?

 The disciplinary cases discussed in this episode are listed below:

• Best Execution Case #1
• Best Execution Case #2
• Best Execution Case #3  
• Fair Pricing Case #4
• Fair Pricing Case #5
• Reasonableness of Compensation Case #6 
• Reasonableness of Compensation Case #7 

Enjoy!

Support the show

Support the show