Commission Sharing Agreements

Changes in regulation and market practice over recent years have resulted in the growth in volume and sophistication of requirements to agree and manage commission sharing and unbundling in the equity markets. Firms who cannot support these more complex arrangements and provide a simple, efficient and transparent process to support their clients’ needs are increasingly at a disadvantage in these ever more competitive markets. Even firms who have traditionally coped with these types of arrangements using manually intensive processes are now finding them difficult to scale and monitor with any confidence.

Common Issues - Pragmatic Solutions

MPI Europe has engaged in project work and research on this topic across a range of financial institutions from brokers to hedge fund managers. In this way we have identified many common issues faced by firms and the pragmatic solutions that we can help clients implement.

“For an apparently simple process in theory, it is complex to implement in practice"

“Our old process made us reactive - we couldn’t be sure we were getting all the payments we should have”

“We need more evidence as to precisely why allocation decisions are made”

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