Browsing: Commissions

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FCA Releases Asset Management Industry Report As Prelude To More Industry Reform

11/25/2016
The UK Financial Conduct Authority released a broad-ranging study of the asset management industry which critiques current practices and proposes disclosure reforms among other remedies.  For an industry already contending ...
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New Greenwich Survey Shows Research Payments Shrinking As Portion Of Overall Commissions

11/23/2016
Commission spend attributable to research declined from 58% last year to 50% in 2016, according to the latest European commission survey from Greenwich Associates.  One of the unintended consequences of ...
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FCA Engages With Industry Participants Over Research Unbundling But Concerns Remain

11/14/2016
The UK Financial Conduct Authority recently participated in a buy-side roundtable focused on implementation of MiFID II’s research unbundling rules hosted by Bank of America Merrill Lynch on November 1st.  ...

US CSA Growth Is Ultimately Market Driven Not Rule Driven

11/10/2016
The transaction flow through commission sharing agreements has increased in the US over the last two years, according to Greenwich Associates.  In large part this is the result of US ...
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Commission Management Software Provider Commcise Wins Waters Technology Awards

11/08/2016
Commission management software provider Commcise won the award for ‘Best buy-side product for 2016’ at the Waters Technology Buy-Side Technology Awards held in London November 7th. Waters Technology, a unit ...

Protected: The Lame Duck FCA (original)

11/07/2016
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The Lame Duck FCA

11/07/2016
Although the UK Financial Conduct Authority is showing signs of accommodation in its interpretation of the new European research payment regulations, the ghost of Martin Wheatley, the FCA chief who ...
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German Regulators Expected To Endorse French Version Of MiFID II Unbundling

11/07/2016
The German financial markets regulator does not intend to release its own consultation paper on MiFID II, according to market sources.  Instead it will be quietly endorsing the interpretation provided ...
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Will MiFID II Back Away From Regulating Fixed Income Research?

10/31/2016
Markus Ferber, an influential European Parliament lawmaker, questioned the feasibility of implementing MiFID II's research rules for fixed-income markets, according to an article in Financial News.  He also noted the ...
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Why US Firms Are Not Concerned About Research Cross-Subsidization

10/26/2016
One area where new MiFID II research unbundling regulation conflicts with US regulatory practice (besides the ability to use bundled commissions) is the potential for some asset management clients to ...
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