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  3. Point in time
    2015-12-16

execution criteria

    the criteria set out in COBS 11.2.6 R, that is:

      1. (a) the characteristics of the client including the categorisation of the client as retail or professional;
      1. (b) the characteristics of the client order;
      1. (c) the characteristics of financial instruments that are the subject of that order;
      1. (d) the characteristics of the execution venues to which that order can be directed; and
      1. (e) for a management company, the objectives, investment policy and risks specific to the UCITS scheme or EEA UCITS scheme, as indicated in its prospectus or instrument constituting the fund91.