On Demand

Broker-Dealer Compliance Part III: Execution and Trading Compliance in an Electronic World

1h 1m

Created on June 24, 2019




This program is the third of four segments led by K. Susan Grafton, leader of Dechert LLP's Broker-Dealer, Securities and Trading Markets product line, exploring key regulatory issues applicable to broker-dealers. This segment will focus on trading compliance issues, with an emphasis on the electronic trading of equities, debt, and digital assets. Among other things, this session will cover the best execution and order handling obligations of broker-dealers; smart order routing, algorithmic trading, market access, and the role of alternative trading systems and other dark pools of liquidity.

Part III of the series will discuss the legal and regulatory challenges related to electronic order routing and execution, and compliance considerations for broker-dealers.

Learning Objectives:

  1. Understand the legal and regulatory obligations applicable to electronic trading activities, including smart order routing, algorithmic trading, and the operation of alternative trading systems
  2. Review broker-dealers' compliance considerations in an electronic trading environment
  3. Determine whether registration as an alternative trading system or securities exchange is required

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