Neil Scarth - Commission Rebundling in the UK Artwork

Castine Conversations

We come across hundreds of interesting people and firms in the different projects that we undertake in the C3 space and 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, 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

Neil Scarth - Commission Rebundling in the UK

September 13, 2023 • Castine LLC

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 investment banks.

Frost Consulting, which was formed in 2007, focuses on commission management and unbundling. Frost's depth and breadth of experience helps their clients navigate existing rules around unbundling as well as helping them understand how proposed changes in the UK and Europe - along with the sunsetting of the SEC No Action Letter - will impact and benefit them. My conversation with Neil is on those changes and where things may play out over then next year or two.

This conversation is with Robin Hodgkins, Castine's President and covers the potential changes in the UK around commission management as being led by Jeremy Hunt and Rachel Kent.

For more information on Frost Consulting, please visit FrostConsulting.co.uk.

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