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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

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

Reviewer and Governance

List names and roles only if needed for the audit trail.
Describe the conflict and any mitigation steps taken.

Execution Quality Assessment

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

Broker and Venue Review

Explain why the selected broker or venue remained appropriate based on execution quality, cost, and service considerations.
Describe the change, effective date, and reason for the decision.

Exceptions, Corrective Actions, and Follow-Up

Summarize any outliers, failed trades, routing issues, or other exceptions.
List actions to address issues, including policy updates, broker discussions, or monitoring changes.

Audit Trail and Attestation

Attach reports, broker scorecards, or analysis files used in the review.
Identify the systems, reports, or datasets used for the review.

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