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

Phone 07710 444 670

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    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.

     

    Contents

     

    Background

    Conclusion

    Action Required

    Appendices

    • 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.

    £50.00Price