Documents tagged with undisclosed

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Client Commission Arrangements Go Global?

A recent Traders Magazine article describes the popularity of Client Commission Arrangements (CCA's and compares them to the Commission Sharing Arrangements (CSA's) used in foreign jurisdictions. T...
  • Bill George published this 08 / 14 / 2008
  • 1,179 reads
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4 p.
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Level Playing Field

This document discusses competitive issues between the regulated institutional investment industry (mutual funds, pension and savings plan advisors) and the un-regulated hedge fund industry. It dis...
  • Bill George published this 11 / 16 / 2007
  • 337 reads
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3 p.
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Changing Attitudes

This paper describes what may be a change in the mutual fund industry's and the Investment Company Institute's (ICI) attitudes toward fiduciary advisors' undisclosed uses of institutional clients' ...
  • Bill George published this 11 / 16 / 2007
  • 410 reads
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1 p.
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Drilling Down

This paper describes how investment consulting firms report the uses of soft dollars and it provides a suggestion on ways to improve the gathering of information and suggestions about the appropria...
  • Bill George published this 11 / 16 / 2007
  • 362 reads
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Tooled by Semantics

This paper describes how the term soft dollar brokerage came into being and how the term has been misapplied and maligned by the full-service brokerage industry.
  • Bill George published this 11 / 16 / 2007
  • 395 reads
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