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Run: Best Execution Review and Documentation Worksheet

Best Execution Review and Documentation Worksheet template for recording periodic trade execution reviews, broker selection, and routing decisions. Use it to...

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Submission Notice and Review Scope

Review period start date (required)

Review period end date (required)

Review frequency (required)

Scope of review (required)

Primary basis for this review (required)

Review notes

Summarize the objective of the review and any constraints, such as asset class coverage or data limitations.

Reviewer and Governance

Reviewer name (required)

Reviewer title or role (required)

Department (required)

Additional participants or approvers

List names and roles only if needed for the audit trail.

Any conflicts of interest disclosed? (required)

Conflict details

Describe the conflict and any mitigation steps taken.

Execution Quality Assessment

Price improvement assessed (required)

Execution speed assessed (required)

Fill rate assessed (required)

Market impact assessed (required)

Execution quality summary (required)

Summarize the data reviewed, trends observed, and whether execution quality met expectations.

Benchmark or comparison method used

Broker and Venue Review

Brokers reviewed (required)

Venues reviewed

Routing rationale (required)

Explain why the selected broker or venue remained appropriate based on execution quality, cost, and service considerations.

Did broker selection change during the review period? (required)

Broker change details

Describe the change, effective date, and reason for the decision.

Any venue or broker concerns identified? (required)

Exceptions, Corrective Actions, and Follow-Up

Exceptions summary

Summarize any outliers, failed trades, routing issues, or other exceptions.

Corrective actions

List actions to address issues, including policy updates, broker discussions, or monitoring changes.

Follow-up owner

Follow-up due date

Next scheduled review date

Audit Trail and Attestation

Supporting documents

Attach reports, broker scorecards, or analysis files used in the review.

Data sources used (required)

Identify the systems, reports, or datasets used for the review.

Attestation (required)

Yes No N/A

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