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  3. Point in time
    2016-04-04

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;
  2. (b) the characteristics of the client order;
  3. (c) the characteristics of financial instruments that are the subject of that order;
  4. (d) the characteristics of the execution venues to which that order can be directed; and
  5. (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.