Broker
Compliance
Best execution and regulatory compliance
Best Execution
| Framework | Requirement | Implementation |
|---|---|---|
| FINRA 5310 | Reasonable diligence | Multi-venue price comparison |
| MiFID II | Best execution policy | Documented SOR decisions |
Pre-Trade Risk
| Check | Description |
|---|---|
| Position limits | Max position per asset |
| Concentration | Max % of portfolio in single asset |
| Rate limiting | Orders per second caps |
| Notional limits | Max order value |