The SFC Code of Conduct obliges Licensed Corporations to attain Best Execution for client orders. The Code of Conduct is augmented by the Thematic Review on Best Execution published in Jan 2018 and covers:

a. Governance and management supervision
b. Best execution factors
c. Applicability of best execution
d. Responsibilities of execution staff
e. Controls and monitoring
f. Arrangements with affiliates, connected parties and third parties

Our SFC Best Execution Governance solution enables clients to ensure they are cognisant of the regulator’s expectations and record their level of compliance.

The Dynamic-GRC Best Execution Governance solution is the quickest and best value way for a licensed firm to get a comprehensive record of their level of compliance and ascertain how far they can cover shortfalls.

HK-SFC Best Execution