Browsing: Commissions

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Barclays Predicts Modest Growth in Equity Revenues

01/14/2015
A recent article in efinancialnews.com cites a Barclays research note on the outlook for investment banking revenues.  Consensus sell-side estimates predict moderate growth equities revenues for 2015.  Barclays believes that ...

ESMA Backs Away From Research Commission Ban, BUT…

12/22/2014
As we predicted, the revised MiFID II rules have backed away from an outright ban on paying for research with client commissions.  BUT, and this is a big but, the ...

Survey Shows Concerns About MiFID II

12/10/2014
A recent Extel survey showed that while a majority of asset managers felt that the proposed MiFID II ban on paying for research with client commissions would reduce coverage of ...

MiFID II Will Not Ban Research Commissions

11/12/2014
According to an article the Financial Times, European legislators have decided not to ban the use of client commissions for the payment of research, as proposed by UK regulators.  During ...
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French Regulators Go Public Opposing a Research Ban

10/22/2014
French regulators have gone on the record in their opposition to a ban on paying for research with client commissions, as proposed by the European Securities and Markets Authority (ESMA), ...

Hedge Fund Caught Using Soft Dollars To Pay Twice For Fake Research

09/22/2014
Earlier this month, the SEC charged a Minneapolis-based hedge fund with running a scam that diverted more than $1.0 million in “fake research” fees and expenses to illegally pay for ...

Position Paper Outlines Research Pricing

09/08/2014
The CFA Society of the UK has published a position paper which outlines approaches to valuing investment research.  The paper, which expands upon valuation techniques outlined UK regulators, seeks to ...

A Perspective on the Varied Responses to a Potential Ban

09/02/2014
The following is a guest article summarizing reactions to the UK Financial Conduct Authority’s discussion paper calling for a ban on research commissions authored by Chris Turnbull, co-founder of Edinburgh-based ...

Markit Integrates Broker Vote and Commission Management

08/15/2014
Markit has integrated its commission management and broker voting software according to a recent article in Wall Street & Technology.  The timing of Markit’s release is aided by recent UK ...
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Proposed Ban on Research Commissions Generates Backlash

07/23/2014
The aggressive UK Financial Conduct Authority (FCA) call for a ban on research commissions has generated heated reactions, even in the insular US market.  There is skepticism that other European ...
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