Neovest fine stokes the EMS transaction fee debate

EMS transaction fees PoV main pic

The SEC’s fine for J.P. Morgan’s Neovest could signal a shift in how the industry views contentious EMS transaction fees. Chartis’ research shows that, as regulatory pressure mounts, investment managers and vendors may have to rethink their transaction-fee strategies.

EMS transaction fees: benefit or bane?

On 28 June the Securities and Exchange Commission (SEC) announced that it had levied a fine on Neovest, a division of JPMorgan Chase, for operating as an unregistered broker-dealer

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