Castine

Insights and news

Analysis, news, and podcasts from the Castine team, on the market it works in every day: commission management, CSA services, research payments, and trader compensation.

28 items

Audience
Castine's Acquisition of ResearchPool - A Conversation with the Decision Makers
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Podcast

Castine's Acquisition of ResearchPool - A Conversation with the Decision Makers

In this conversation, the decision makers on the ResearchPool and Castine teams talk about how this acquisition came to be. Pedro Fernandes, the CEO of ResearchPool, Tom Smith, Castine's EVP of Sales, and Robin Hodgkins, Castine's President discuss how the two companies came together, each of their business models, and how the combined solution will benefit the global market for research management, budgeting, and payment services using commission management / CSAs. ResearchPool's Research…

  • Asset Managers
Aaron Walter - Head of Research Management for Janus Henderson on UK Changes for CSAs
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Podcast

Aaron Walter - Head of Research Management for Janus Henderson on UK Changes for CSAs

In this conversation, we meet Aaron Walter, the Head of Research Management at Janus Henderson, a global investment manager. With 30 years of experience in research and Commission Management, Aaron has witnessed significant changes in the regulatory landscape across the US, the UK, and globally.Our discussion delves into Aaron’s career at Janus Henderson and how regulatory shifts in commission management have influenced his perspective on research and the industry’s response. The recent…

  • Asset Managers
Jack Pollina - Head of Commission Management for Virtu on FCA's final report on rebundling/CSAs
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Podcast

Jack Pollina - Head of Commission Management for Virtu on FCA's final report on rebundling/CSAs

In this conversation we meet Jack Pollina, the Head of Commission Management, Client Relationship Management, and Sales for Virtu Financial. Jack has been involved in commission management since his fortuitous job at Hoenig & Co. Working in CSAs has been the hallmark of Jack's career - other than running a bagel store - and he leverages that knowledge with his team and clients to help them navigate the complexities of 28(e) and similar regulations worldwide. Our conversation covers Jack's…

  • Brokers and Research Providers
Steve Stone - Where Are We with CSA Changes in the UK?
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Podcast

Steve Stone - Where Are We with CSA Changes in the UK?

In this conversation we meet Steve Stone, the head of the financial institutions law practice at Morgan Lewis. Steve is a recognized expert in commission management in the US, England, and Europe and represents clients before the SEC and FINRA. Commission Management is a major front-of-mind issue in the USA with the end of the SEC "No Action" letter last year and it's a front-of-mind issue in the UK due to the Chancellor of the Exchequer's and Rachel Hunt's calls for what could be the return…

  • Asset Managers
  • Brokers and Research Providers
Indy Sarker - Analec's Founder on Where Commission Management Stands Today
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Podcast

Indy Sarker - Analec's Founder on Where Commission Management Stands Today

In this conversation we meet Indy Sarker, Founder of Analec.Indy is a recognized global leader in commission management and brings to it his years of experience in research analysis, publication workflow and CRM systems. Indy has been involved with commission management for over a decade and has been an active sponsor and speaker in numerous commission management events and conferences. Indy started out on the research analyst side of the industry after reading Economics at Cambridge and…

  • Asset Managers
  • Brokers and Research Providers
Neil Scarth - Commission Rebundling in the UK
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Podcast

Neil Scarth - Commission Rebundling in the UK

In this conversation we meet Neil Scarth, Founder and Principal of Frost Consulting.Neil Scarth has held a wide range of roles in asset management and investment banking in Europe and North America over the last 25 years, ranging from running equity businesses at global banks to launching and managing various asset management products. Neil has comprehensive knowledge of the strategic and competitive framework that governs the inter-relationships between plan sponsors, asset managers and…

  • Asset Managers
  • Brokers and Research Providers
Bob Nowicki - Commission Management and the "No Action" Letter
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Podcast

Bob Nowicki - Commission Management and the "No Action" Letter

In this conversation we meet Bob Nowicki, a luminary in the commission management space. Bob has over three decades of experience and is one of the rare individuals on the Street who has deep experience in building operations, middle offices, and trading desks for the buy and sell side, both in fixed income and equities, including his own hedge fund. For the last two decades, Bob had been leading commission management programs at Bank of America Merrill Lynch and Evercore ISI. While at Merrill…

  • Asset Managers
  • Brokers and Research Providers
Stuart Howard - Global Head of Research Relationships at Invesco Ltd
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Podcast

Stuart Howard - Global Head of Research Relationships at Invesco Ltd

In this conversation we meet Stuart Howard, the Global Head of Research Relationships at Invesco Ltd. Stuart is responsible for managing the research relationships that Invesco uses to add value to the investment decisions that the firm and its team members make. As such, Stuart has a unique view of the research space, how it has evolved during covid, and where it is headed in 2023 and beyond. His background in auditing, analysis, client reporting and operations has led to where he is now, as…

  • Asset Managers
Sarah Ahmed - Director of Corporate Access at Artisan Partners
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Podcast

Sarah Ahmed - Director of Corporate Access at Artisan Partners

In this conversation we meet Sarah Ahmed, the Director of Corporate Access at Artisan Partners. Sarah Ahmed is a true leader in Corporate Access, learning at the side of wonderful mentors at Deutsche Bank and AB Bernstein, and now running Corporate Access for Artisan. Sarah's experiences in getting into the field of Corporate Access with a broker's perspective and then transitioning to the asset manager side are fascinating, as are her observations on how Corporate Access survived and changed…

  • Asset Managers
Suzanne Mick Stafford - Expert Services Associate at Mirador on Compensation Management 201 for Wealth Managers
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Podcast

Suzanne Mick Stafford - Expert Services Associate at Mirador on Compensation Management 201 for Wealth Managers

In this podcast we meet Suzanne Mick Stafford, Expert Services Associate at Mirador, LLC. Mirador was founded in 2015 and has grown to be a leader in providing outsourced CTO services and third-party solutions to brokers, high net worth individuals, wealth management firms, endowments, and foundations. This episode is an extension on an earlier conversation with Joe Larizza, Mirador's CEO on Compensation Management 101 for Wealth Managers. In this "201" conversation, Tom Smith, Castine's…

  • Brokers and Research Providers
Joe Larizza - CEO of Mirador on Compensation Management 101 for Wealth Managers
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Podcast

Joe Larizza - CEO of Mirador on Compensation Management 101 for Wealth Managers

In this podcast we meet Joe Larizza, the Founder and CEO of Mirador, LLC. Mirador was founded in 2015 and has grown to be a leader in providing outsourced CTO services and third-party solutions to brokers, high net worth individuals, wealth management firms, endowments, and foundations. Building on a foundation of client support honed from his experience on Wall Street, Joe has built a team of over 160 people and has expanded Mirador to other locations around the country. One of the areas of…

  • Brokers and Research Providers
Jason Glazer - Head of Product Management at Piper Sandler
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Podcast

Jason Glazer - Head of Product Management at Piper Sandler

In this podcast we meet Jason Glazer. Jason is the Head of Product Management at Piper Sandler, which acquired Cornerstone Macro, where he was the Chief Operating Officer. Jason's travels through sales and finance have included many situations where he was mentored by wonderful teachers. In his new role, Jason is continuing the mentiorship focus but where he mentors others. The opportunities for growth that the acquistion by Piper Sandler brings, and Jason's involvement throughout the research…

  • Brokers and Research Providers

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