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

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.

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Castine Conversations

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

April 10, 2024

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 of CSAs. With the FCA's release of a report on April 10th supporting "rebundling," our conversation with Steve on commission management is very timely.

This conversation covers Steve's career, how commission management has wound up where it is today on a global basis, and where things might shake-out in the next 3-18 months.

For more information on Morgan Lewis, please visit MorganLewis.com.
For more information on Castine and its commission management and other solutions, please visit CastineLLC.com