Westmarch Securities evidences best execution
How Westmarch Securities worked with us on evidences best execution.
When the regulator asked about best execution, we had the evidence ready instead of spending a week building it.Yusuf Novak, Chief Technology Officer, Westmarch Securities
The challenge
Best execution reporting was assembled by hand each quarter, and the firm struggled to evidence its monitoring when the regulator asked.
Our approach
We brought orders, trades, and communications into a single surveillance case view, tuned alert logic against reviewed outcomes, and gave the team one place to investigate and record decisions.
The result
The firm produced best-execution evidence on demand and answered its next regulatory query with a documented trail rather than a scramble.
Best execution reporting was assembled by hand each quarter, and the firm struggled to evidence its monitoring when the regulator asked. We brought orders, trades, and communications into a single surveillance case view, tuned alert logic against reviewed outcomes, and gave the team one place to investigate and record decisions. The firm produced best-execution evidence on demand and answered its next regulatory query with a documented trail rather than a scramble.
This case study is written by the vendor and describes their own work. Outcomes have not been independently verified by RegTech Radar.