Castine Conversations
We come across hundreds of interesting people and firms in the different projects that we undertake in the commission management, compensation, and compliance (C3) space. We thought others would be as fascinated as we are with them.
This podcast introduces us to business leaders, entrepreneurs, and businesses around the globe who have special interest in commission management (aka CSAs and soft dollars), broker/producer compensation, research services, and compliance. Each person is unique in their background and offers their advice on getting started and how their business operates and grows. We hope you enjoy it!
Castine LLC is a solutions provider to C3 space (Commission Management, Compensation, and Compliance). We have offices in the United States, Argentina, Portugal, France, and England. Our solutions are cloud-based and are used by institutional and retail brokers, investment managers, research providers, and hedge funds worldwide.
Castine Conversations
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 Lynch, Bob took part in building out an internal research survey business and also launched and managed its internal independent research marketing firm, Merrill Open Minds.
Bob received his B.S. in Finance from St. John’s University and currently consults in the areas of client strategy, commission management, operations, and independent research.
This conversation is hosted by Tom Smith, Castine's EVP of Sales.
For more information on Castine LLC, including our commission management, compensation, and compliance solutions for investment managers and retail and institutional brokers, please visit CastineLLC.com