Soft-dollar commissions – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Tue, 05 Nov 2024 19:16:31 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Soft-dollar commissions – Investment Executive https://www.investmentexecutive.com 32 32 FCA expands research unbundling to fund managers https://www.investmentexecutive.com/news/from-the-regulators/fca-expands-research-unbundling-to-fund-managers/ Tue, 05 Nov 2024 17:27:40 +0000 https://www.investmentexecutive.com/?p=496038 U.K. regulator aims to improve access to research, market transparency

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]]> Europe relaxes rules, eyes more vibrant markets https://www.investmentexecutive.com/news/from-the-regulators/europe-relaxes-rules-eyes-more-vibrant-markets/ Mon, 28 Oct 2024 17:48:29 +0000 https://www.investmentexecutive.com/?p=495563 ESMA consults on research bundling, prospectus requirements

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]]> Research unbundling hasn’t hurt small company coverage: ESMA https://www.investmentexecutive.com/news/from-the-regulators/research-unbundling-hasnt-hurt-small-company-coverage-esma/ Thu, 18 Feb 2021 17:39:58 +0000 https://www.investmentexecutive.com/?p=416316 MiFID II reform fears unfounded, research finds

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]]> SEC could allow testimonials, endorsements in advisor advertising https://www.investmentexecutive.com/news/from-the-regulators/sec-could-allow-testimonials-endorsements-in-adviser-advertising/ Tue, 05 Nov 2019 16:42:15 +0000 https://www.investmentexecutive.com/?p=390174 SEC also extends soft-dollar relief related to MiFID II

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]]> Unbundling rules pay off for investors, FCA review finds https://www.investmentexecutive.com/news/from-the-regulators/unbundling-rules-pay-off-for-investors-fca-review-finds/ Thu, 19 Sep 2019 15:56:56 +0000 https://www.investmentexecutive.com/?p=387410 Regulators found the policy reduced conflicts

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]]> New ITG report explores EU’s unbundling of trading commissions and investment research https://www.investmentexecutive.com/news/industry-news/new-itg-report-explores-eus-unbundling-of-trading-commissions-and-investment-research/ Mon, 28 Sep 2015 19:45:00 +0000 https://www.investmentexecutive.com/uncategorized/new-itg-report-explores-eus-unbundling-of-trading-commissions-and-investment-research/ The impact of unbundling will differ based on the size of the firm and the markets in which it operates, new ITG report finds

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]]> European unbundling reforms could have significant impact https://www.investmentexecutive.com/news/from-the-regulators/european-unbundling-reforms-could-have-significant-impact/ Wed, 27 May 2015 16:15:00 +0000 https://www.investmentexecutive.com/uncategorized/european-unbundling-reforms-could-have-significant-impact/ A modest decrease in commissions or broker trading revenue could effect the sell-side provision of research

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]]> ‘Soft-dollar’ commissions rule takes effect June 30 https://www.investmentexecutive.com/news/from-the-regulators/soft-dollar-commissions-rule-takes-effect-june-30/ Tue, 29 Jun 2010 19:12:00 +0000 https://www.investmentexecutive.com/uncategorized/soft-dollar-commissions-rule-takes-effect-june-30/ Rule clarifies goods and services that may be acquired by advisors

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]]> Regulators propose changes to fund prospectus disclosure forms https://www.investmentexecutive.com/news/from-the-regulators/regulators-propose-changes-to-fund-prospectus-disclosure-forms/ Fri, 09 Oct 2009 19:31:00 +0000 https://www.investmentexecutive.com/uncategorized/regulators-propose-changes-to-fund-prospectus-disclosure-forms/ Amendments aimed at ensuring consistency with new soft-dollar commission rules

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]]> CSA approves soft-dollar commission rules https://www.investmentexecutive.com/news/from-the-regulators/csa-approves-soft-dollar-commission-rules/ Tue, 06 Oct 2009 16:03:00 +0000 https://www.investmentexecutive.com/uncategorized/csa-approves-soft-dollar-commission-rules/ New disclosure requirements take effect in June 2010

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