Browsing: Commissions

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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US CSA Volumes Increased in 2013 According to New Study

07/19/2014
Subscribers to ResearchWatch can download the full ResearchFocus report: US CSA Survey Results 6-14 Commissions paid through commission sharing agreements (CSAs) increased 8% in 2013 and 5% in the first ...
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CSAs Prevalent in France

07/17/2014
70% of French asset management firms have commission sharing arrangements (CSAs) in place according to a study by FinFees, a Paris-based consulting firm. The study also found that French managers ...
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Bulge Equity Revenues Down in Second Quarter

07/17/2014
Financial reporting from major investment banks is reflecting the worsened equities market conditions in the second quarter.  US equity market volumes were down 12.9% in the second quarter, and bulge ...
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