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 ...
Survey: The US vs EU Research Budget Divergence
05/04/2026
Substantive Research recently published findings from a survey of the 50 largest asset managers globally showing US investment research budgets have recovered 40 basis points since 2022, while European budgets ...
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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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Global Reawakening of CSAs: Castine Launches Webinar Series for Brokers and Asset Managers
09/15/2025
Recognizing renewed global interest, Castine extends its CSA training to firms beginning their journey into commission management.
New Jersey-based financial software developer, Castine, recently announced that it is expanding its educational ...
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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 ...
FCA PS25/4: New Rules on Investment Research Payments for Pooled Funds
05/12/2025
On May 9, 2025, the UK Financial Conduct Authority (FCA) published its policy statement PS25/4, finalizing new rules that grant pooled investment funds greater flexibility in paying for investment research.
These ...
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Research Budgeting Myths – Part Two – Asset Owners Can’t Wait to Fire Their Managers!
02/24/2025
The headlong rush by UK and EU asset managers to move to pay for external research via P&L at the onset of MiFID II is one of the most remarkable ...
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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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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 ...