Browsing: Commissions
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UK Asset Managers Weigh Research Cost Changes Amid New FCA Framework
02/05/2025
The Financial Conduct Authority's recent regulatory changes regarding investment research costs have prompted discussion among UK asset managers about passing these expenses to end investors. Substantive Research Survey Results In ...
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Survey: Global Asset Managers Divided on FCA’s New Unbundling Rules
08/29/2024
According to a recent survey by Substantive Research, a UK-based advisory firm focused on research and market data spending, global asset managers remain uncertain about whether they plan to adopt ...
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New UK Research Rules: Part II
07/30/2024
The following is a guest article by Neil Scarth, Principal of Frost Consulting (www.frostconsulting.co.uk/) which provides customizable research budgeting/valuation frameworks and research spending databases. In the first article in the ...
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New UK Research Rules: The Starting Gun for Global Research Regulatory Convergence?
07/29/2024
The following is a guest article by Neil Scarth, Principal of Frost Consulting (www.frostconsulting.co.uk/) which provides customizable research budgeting/valuation frameworks and research spending databases.
What goes around comes around – sort ...
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Key Takeaways from Unbundling Uncovered USA 2024
07/03/2024
The following is a guest article by Mike Carrodus, founder of Substantive Research, a UK-based advisory firm offering independent comparison and discovery of investment research, ESG and market data pricing ...
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 ...
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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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Majority of European IRPs Expect Buy-Side Firms to “Rebundle”
03/28/2024
The seventh annual survey conducted by trade association Euro IRP found that 60% of IRPs believe that asset managers will move to using client money to pay for external research ...
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Will Clients Agree With UK Asset Managers’ Possible Move to Using Commissions to Pay for Research Once Again?
11/13/2023
Since July 2023, the UK asset management industry has been discussing whether the research payment optionality proposed by Rachel Kent in her UK Investment Research Review is realistic, particularly since ...
Extending SEC “No Action” Will Harm US Investors
03/13/2023
Recently, Harvard Law School Professor, Howell E. Jackson and CEO of Healthy Markets Association, Tyler Gellasch published an article arguing that “if the SEC [extends its “no action” letter], public ...