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Securities

Execution Quality

CP Capital is committed to obtaining the best trade execution for our customers. We have contracted our clearing firm, National Financial, for our order routing and best execution solutions. In doing so we leverage Fidelity’s order routing systems – Execution Quality Reporting (EQ) and Institutional Execution Quality (IEQ).

Statistics gathered by EQ:

  • Order type (market, limit, etc.), quote at order entry, quote at execution, numbers of shares executed and time of execution.
  • All reporting is handled by a dedicated Order Flow Management Team

    • Post trade analysis by IEQ:

    • Measures execution quality performance and provides trade-by-trade and order-by-order factors.
    • Analyzes order patterns by market capitalization, order size, buy vs. sell, participation and other factors.
    • All order flow data is handled by the Electronic Execution Solutions team.

      • In accordance with SEC Rule 606 (formerly SEC Rule 11Ac1-6) CP Capital Securities will, upon your request, disclose to you the identity of the venue to which your directed and non-directed orders were routed for execution in the six months prior to your request, as well as the time of the transactions, if any, that resulted from such orders.

      CP Capital Securities does not receive compensation for directing order flow. See terms and conditions section of your statement for a description of our clearing firm’s policies for order flow practices.

© 2011 CP Capital Group, LLC. All rights reserved. Securities products are offered through CP Capital Securities, Inc. Member FINRA, SIPC | Disclosures.