Browsing: Soft Dollars
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How AI is Transforming the Trans-Atlantic Research Funding Debate
09/14/2026
The following guest article was submitted by Neil Scarth, Principal at Frost Research Systems (FRS). FRS helps asset managers meet all new research regulatory transparency requirements while simultaneously maximizing Research ...
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CSA vs RPA & P&L: Why CSAs Are the More Practical Research Funding Choice
09/08/2026
The following guest article was written by John McGough, Jr., a member of the Global Business Development team at financial technology provider Castine, LLC. John has spent over 25 years ...
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The Slow March Towards CSAs
10/06/2025
This guest article was written by Chris Newson & Caroline Bayman. Chris and Caroline together have over 45 years’ experience in research and commission management on buy and sell sides. ...
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The Lost Art of Commission Management – And How to Find It Again
06/09/2025
The following guest article was written by Bob Nowicki, President at Westbay Global Consultants, a consultant in client strategy/profitability and commission management with more than twenty years of experience managing ...
Shining a Spotlight on the Client Commission Costs of CSA/Soft Dollar Aggregation Platforms across Asset Owners, Asset Managers, and CSA brokers
06/24/2024
The following guest article was written by Kevin Petrello, US Commercial Lead for Research Manager at S&P Global. Kevin has extensive experience in the areas of CSA’s, research unbundling/evaluation, 28e ...
SEC Commissioner Pushes for Review of Current U.S. Research Analyst Rules
06/17/2024
Last week, speaking before the International Bar Association’s Asset Management Industry Conference on Global Challenges and Opportunities, SEC Commissioner, Mark Ueda discussed the history of U.S. regulations covering investment research. ...
China Sell-Side Research Contracts after Commissions Cut and Soft Dollars Banned
04/22/2024
According to articles from several news agencies, the brokerage industry in China is in the midst of a slowdown, a trend that is prompting many firms to slash both compensation ...
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Is the SEC Asleep at the Switch Regarding Research Payments?
10/30/2023
The following guest article was written by Robert Nowicki, a commission management consultant with more than twenty years of experience managing the global commission management divisions of major Wall Street ...
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The SEC’s Enduring Rulemaking Masterpiece: The Argument for Soft Dollars in the US
06/12/2023
The following guest article was written by Allan Goldstein, CEO Euronext Market Services, Managing Director Commcise Software, a leading technology provider for investment managers, investment research providers and broker dealers ...