Browsing: Commissions

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UK Regulators Offer Moderate Interpretation Of MiFID II Unbundling

09/30/2016
The UK Financial Conduct Authority (FCA) released its long-awaited consultation paper on MiFID II [discussion begins on page 24 and draft language begins on page 263]. If industry participants expected ...
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Will Research Spending Be Slammed $5 Billion By MiFID II? Probably Not.

09/22/2016
How much will asset managers cut their research spending after new European unbundling rules go into effect?  A Financial Times article puts the amount at $5 billion.  We suspect the ...
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French Regulators to UK Regulators: Your Mother Was A Hamster

09/14/2016
This the second and final installment of a two-part examination of the French regulatory interpretation of new European rules unbundling research payments from execution. In the previous article we discussed ...
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French Regulators Go Easy On MiFID II Interpretation

09/13/2016
This the first of a two-part examination of the French regulatory interpretation of new European rules unbundling research  payments from execution. L’Autorité des Marchés Financiers (AMF) released its consultation paper interpreting ...
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IOSCO Releases Global Best Practices For Soft Dollars

08/29/2016
The International Organization of Securities Commissions (IOSCO), the international organization of financial market regulators from over 115 jurisdictions regulating over 95% of the world’s financial markets, has published a report ...
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UK Asset Managers Release Document Outlining MiFID II Implementation Issues, Part 2

08/26/2016
This is the second and concluding article of a two-part analysis of a recent asset management white paper discussing implementation issues with MiFID II. To view the first article click ...
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UK Asset Managers Release Document Outlining MiFID II Implementation Issues, Part 1

08/25/2016
This is a two-part analysis of a recent asset management white paper discussing implementation issues with MiFID II. The concluding article will run tomorrow. The Investment Association (IA), the UK ...
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IHS Markit Plans Release Of Research Budget Tool In 2017

08/24/2016
IHS Markit says it won’t offer a research budgeting application before 2017 with the release of a new version of the IHS Markit Commission Manager software.  Although the release date ...
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French Regulators Delay Interpretation Of MiFID II

08/23/2016
L’Autorité des Marchés Financiers (AMF), the French securities regulator, expects to release its consultation paper interpreting the MiFID II Delegated Acts in mid-September, according to an  email response from the ...
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Eliminating The Soft Dollar Subsidy: Why The US Will Lag Europe

08/15/2016
This is the second and concluding article of a two-part series examining the policy implications of restricting the use of client commissions to pay for research. Industry benefits Although a ...
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