Browsing: Commissions

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FCA Issues Research Unbundling Warning to Asset Management Industry

03/06/2017
The UK's Financial Conduct Authority issued a news release titled “Firms continue to fail to meet our expectations on their use of dealing commission,” which seems intended to prod asset ...

Equity Commission Rates Remain Steady

03/06/2017
According to a recent Greenwich Associates study, the average cost of equity executions in the developed world remained largely unchanged in 2016, whereas ETFs are getting more expensive trade. US Execution ...
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US Brokers Petition SEC on Problem of Paying Cash for US Research

02/28/2017
Reflecting a new sense of urgency, the Securities Industry and Financial Markets Association (SIFMA), a trade organization for the US securities industry, submitted a letter to the SEC outlining a ...
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French Regulators Issue Final Commentary On MiFID II Research Unbundling

02/17/2017
French regulators continued their campaign to isolate and displace UK regulators as the arbiters of European financial regulation by releasing commentary on the industry responses to its consultation paper on ...
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Convergex Hires New UK Commission Management Head

02/16/2017
Convergex’s Westminster Research Associates, one of the top commission aggregators in the US, hired a veteran UK salesperson to head its European commission management effort.  Westminster is hoping to expand ...
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Instinet Launches MiFID II Enhancements To Its Commission Management Platform

02/03/2017
Instinet has released new commission management capabilities designed support the new world of ring-fenced Research Payment Accounts which are distinct from the current industry practice of using broker-controlled commission pools. ...
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US Brokers Pursue Solutions to MiFID II Problem of Paying Cash For US Research

01/31/2017
We are hearing from various sources that the Securities Industry and Financial Markets Association (SIFMA), a trade organization for the US securities industry, has had a change of heart and ...
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ITG Releases US Asset Manager Poll Showing CSAs Preferred For MiFID II

01/06/2017
Agency broker ITG released a poll of US asset managers indicating that the majority expect to unbundle research payments globally.  However, increased unbundling in the US will take the form ...
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2016 In Perspective: Regulatory Reform Of Research Has Become More Isolated

12/27/2016
The headline regulatory events for 2016 were the research unbundling provisions of MiFID II, as UK and French regulators offered divergent views on implementation.  French regulators are aggressively seeking to ...
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Research Aggregator RSRCHXchange Survey Shows Asset Managers Undecided On MiFID II Payment Process

12/20/2016
Research distributor RSRCHXchange conducted a poll of 220 European asset managers which found that half are still unsure how they will pay for research when MiFID II comes into force ...
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