• Training
  • Consulting
  • Litigation Support/ Expert Witness

Are you paying enough attention to executions?

Don’t find out the hard way!

 

  • Scrutiny of executions is increasing dramatically.

  • Risks exist from client litigation and regulatory actions alike.

  • FINRA continues to fine financial institutions at an increasing rate.  Are you next?

    • E-Trade

      • Censured and fined E*Trade Securities LLC $900,000 for failing to conduct an adequate review of the quality of execution of its customers’ orders and for supervisory deficiencies concerning the protection of customer order information.

    • Morgan Stanley

      • Agreed to pay $500,000 to the Financial Industry Regulatory Authority and restore $103,219 to investors for improperly executing trades of preferred securities.

  • MIFID II – represents increased emphasis on investor protection

    • Major driving force throughout the financial landscape

  • Increased emphasis on Fiduciary Responsibilities represents considerable risk from sub-optimal executions.

 

Benefit from TRCI’s unique perspective and experience.

 

Let us examine a sample of your cross-asset executions (for example, USD based clients purchasing or selling non-dollar securities) at no cost.  We might see something that you missed.  We will then provide a report indicating whether the executions are appropriate or have not subjected the client to unnecessary risk.  In the event that no further action is necessary, then there is no charge for the initial report.

 

Should we recommend, and you agree, that our efforts have uncovered evidence requiring additional steps, we will make a recommendation on how best to proceed and provide a competitive proposal.  In the event that you decide against using our services going forward, we will then provide a modest bill for our efforts to date.

We have acted as confidential consultants in legal cases involving major institutions in matters involving cross-asset executions and can provide you with valuable insights from our experiences.

Call us today at 310-709-1415 or email us at TRCIMail@gmail.com to discuss how we can help. 

Risks from Sub-Optimal Review of Executions are Rising!

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