Browsing: Commissions

More on CSAs

12/11/2012
What, another study of commission sharing arrangements?  Hot on the heels of the Greenwich Associates/Frost Consulting report we discussed last week comes another study of CSAs by Woodbine Associates, a ...

The Times They are A’Changin

12/04/2012
A new study jointly authored by Greenwich Associates and Frost Consulting predicts that asset managers’ procurement of research will change radically in coming years.  Asset owners will scrutinize non-execution commission ...

Wall Street’s Three-Part Equities Strategy Collapsing

11/26/2012
New York – Historically, Wall Street investment banks built their equity capital markets businesses around a three-part strategy which included research, trading, and investment banking.  However, trends over the past ...

UK Challenges Management Access

10/30/2012
The UK Financial Services Authority (FSA) conducted a review of conflict management practices at asset managers and challenged commission payments for management access earlier this month.  Sources indicate that the ...

The Incredible Shrinking Equity Commission Pie

06/04/2012
New York, NY – According to a study released last week by consultant, Greenwich Associates, the US equity commission pool has fallen for the third consecutive year to a level ...

Sell Side Pain

12/13/2011
2011 has been a tough year for many independent research firms, and it has proven rough even for the equity businesses of large investment banking firms at the top of ...

An Ounce of Due Diligence Prevention

09/20/2011
An ounce of due diligence prevention is worth pounds of sentencing cure, according to standards developed by the United States Sentencing Commission, the government agency which establishes federal sentencing guidelines.  ...

Broker Thyself

06/14/2011
A new report on European independent research suggests that independent research will offer more agency brokerage payment options.  We have seen agency brokers such as ITG and Instinet embracing independent ...

Mopping Up the Expert Network Cases

05/03/2011
New York – Now that the Rajaratnam trial has gone to jury deliberation, prosecutors are turning their attention to other outstanding insider trading cases.  Of the fourteen individuals charged in ...

Dirks v. SEC

04/26/2011
New York – The current definitions of insider trading owe much to a U.S. Supreme Court decision which capped a battle between Raymond L. Dirks and the Securities and Exchange ...
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