Browsing: Broker Dealers

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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Squaring The Circle:  Commission Sharing Arrangements are the best payment method for U.S. investment research following the expiry of the SEC “No Action” Letter

04/15/2024
The following guest article was written by Francis Land, founder and principal at FHDL Consulting.  Francis has worked in equity capital markets for 29 years and specialises in research evaluation ...
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FCA Releases Wholesale Data Market Study – No Recommended Changes

03/06/2024
The Financial Conduct Authority (FCA), a conduct regulator for UK markets, recently released its findings surrounding wholesale data in the financial markets. Overall, the FCA concluded that asset managers and ...
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Wall Street Starts 2024 off with Negative Jobs Outlook

02/08/2024
Wall Street layoffs rose for the fourth consecutive month to hit 23,238 layoffs – the highest monthly layoff total since September 2018.  Hiring plans also remained weak in January as ...
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UK Brokers Panmure Gordon & Liberum Merge

01/25/2024
Earlier this month, UK mid and small cap broker Panmure Gordon agreed to merge with rival Liberum Capital in response to widespread weakness in the UK capital markets and shrinking ...
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AI Survey Reveals Financial Industry’s Top Trends for 2024

01/23/2024
The transformative power of artificial intelligence was highlighted in NVIDIA’s fourth annual State of AI in Financial Services Report, which analyzes current and future trends for 2024.  The following highlights ...
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2023 Review: Investment Research & FinTech Related Mergers Slow

12/28/2023
In 2023, the pace of mergers and acquisitions in the investment research and financial services industries slowed due to economic challenges, yet the transactions that occurred were notably impactful, particularly ...
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2023 Regulatory Review: MiFID II, Privacy, AI and ESG Receive Increased Focus

12/27/2023
Regulatory changes have been a hot topic of debate in 2023, with regulators and lawmakers honing in on research payments, privacy concerns, ESG data harvesting, and the use of artificial ...
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How to Become a Star Research Analyst

12/14/2023
According to a recently published working paper from the National Bureau of Economic Research (NBER) called, Security Analysis and the Collection of Hard and Soft Information, research analysts who consistently ...
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StoneX to Host 2nd Annual Natural Resources Day in NYC

11/30/2023
Global agency broker,  StoneX Group is scheduled to host its second annual Natural Resources Day 2.0 in New York City on Thursday, December 7th, 2023 to help investors navigate the ...
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