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Order handling 

01 December 2011

Impact Green traffic light No impact

Other areas to consider

Best execution; Best Interests of the Client

Current MiFID rules

Basic client order handling rules

A firm authorised to execute orders for clients must ensure that orders are promptly and accurately recorded and allocated; that otherwise comparable client orders are carried out sequentially and promptly unless impracticable or the interests of the client require otherwise; and that a retail client is informed promptly about any material difficulty relevant to the proper carrying out of orders
A firm must not misuse information relating to pending client orders and must take all reasonable steps to prevent the misuse of such information by any of its relevant persons

MiFID Level 1 Directive Art: 22(1)

MiFID Level 2 Directive Arts: 47(1)) and 47(3)

FSA rules


Proposed changes

No changes proposed

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