BC-8.9.3
a) Execution policies for each class of financial instrument ;
b) Maintenance of and disclosure to customers of information regarding execution venues and arrangements for disclosure to customers if orders are to be executed outside regulated markets;
c) Monitoring of effectiveness of the order execution arrangements and execution policies in order to identify and, where appropriate, correct any deficiencies; and
d) Maintenance of audit trails to demonstrate to their customers that orders were executed in accordance with the relevant execution policy.
Added: April 2008