Browsing: Commissions

SEC Accuses Advisor of Misappropriating Soft Dollars

09/04/2013
The Securities and Exchange Commission accused a San Diego-based investment adviser of misappropriating over $1million in soft dollar commissions, as well as cherry-picking trades to favored clients. J.S. Oliver Capital Management, ...

IMA Forum Opens Debate on Bundling

07/30/2013
The UK’s Investment Management Association’s first open forum on commission management had a lively discussion on whether the asset management industry needs to change the way it spends client commissions ...

Pay Me What You Think It’s Worth

07/16/2013
The Financial Times published an interesting article on research by the chief executive of the UK’s Investment Management Association, the trade association for UK asset managers.  The letter mustered a ...

IMA Appoints Panel to Review Research Market

07/09/2013
The Investment Management Association (IMA), the trade association for UK Asset Managers, announced it has formed a blue ribbon panel to conduct a review of how research is paid for, ...

Battle of the Bulge

06/28/2013
The latest Greenwich U.S. Equity survey (see yesterday’s post) shows the bulge bracket investment banks’ share of  the equity research vote declining while the trading share remains constant.  In other ...

Greenwich: No Relief For the Weary

06/25/2013
Newsflash: Eighty-one percent of the buy-side institutions participating in Greenwich Associates’s 2013 U.S. Equity Investors Study said U.S. equity market turnover will fail to rebound to pre-crisis levels by 2014.  ...

White Paper on Research

06/04/2013
Frost Consulting and Quark Software have jointly published a white paper which examines recent research trends and the pressures on brokerage research: unbundling of research commissions is increasing competition for ...

FSA Stirs the Commission Pot

03/26/2013
As we reported last October, the Financial Services Authority in the UK is challenging the payment for corporate access with client commissions.  The FSA’s scrutiny goes beyond corporate access, however, ...

Wedge Partners Transfers Trading Desk to Rosenblatt Securities

03/07/2013
Wedge Partners, a technology research boutique, has decided to outsource its trading to Rosenblatt Securities.  The move will save money for Wedge, which previously had its own trading desk, as ...

TABB Predicts Uptick in U.S. Equity Commissions

02/26/2013
TABB Group, a consultancy focused on financial services, predicts U.S. equity commissions will rebound in 2013.  The outlook is not as sanguine in Europe, where pressures on cash equities remain ...
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