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BC-2.7.3

Investment firm licensees must establish and implement effective arrangements for complying with Rule BC-2.7.2:

a) Execution policies for each class of financial instrument;
b) Maintenance and disclosure to clients of information regarding execution venues and arrangements for disclosure to clients 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 clients that orders were executed in accordance with the relevant execution policy.
Amended: January 2007