Review of Brokers Template

This template is designed to support an annual review of brokers to determine if they continue to provide an acceptable level of service and satisfy best-execution criteria. It offers a tried-and-tested structure, outlining the main considerations. You’ll need to tailor it for your own purposes, replacing our logo with your own.






Action Required


  • Level of Service Provided
  • Review of Risk Profile and Financial Standing
  • File Licence

    Once purchased, you can use/alter/amend for your own investment firm on a perpetual licence basis. Not maintained.


Compliance Wizard Limited SC218735. Registered Office 22 Stafford Street, Edinburgh EH3 7BD, UK.

Phone 07710 444 670