Trades · RIA Operators

Trades

Greetings brain hive. As I have been working through our policies and procedures at my office, I have had some questions come up and thought I would reach out to you guys for feedback. We are currently confirming all trades manually and enter all our trades manually. I am just curious how some of your offices handle this part of the process. In addition, in the rare event of a trade error(s) what are your company policies for handling the error. Ours is a bit all over the place, so I am looking for best practices before tweaking the policy. Thank you in advance for your feedback.

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