Compensation Agreements in the Capital Markets Industry

487 Contracts & Agreements

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AFFILIATED MANAGERS GROUP, INC. (10 contracts)
ALLIANCEBERNSTEIN HOLDING L.P. (5)
Ameriprise Financial (7)
Apollo Global Management LLC (4)
Artisan Partners Asset Management Inc. (1)
Ascendant Digital Acquisition Corp. (5)
Ashford Inc. (3)
Barings BDC, Inc. (1)
BGC Partners, Inc. (1)
BlackRock (3)
Blucora, Inc. (9)
Bridge Investment Group Holdings Inc. (2)
CAPITAL SOUTHWEST CORP (3)
Carlyle Group L.P. (1)
Cboe Global Markets (1)
Charles Schwab Corporation (20)
CME Group Inc. (5)
Cohen & Co Inc. (1)
COWEN INC. (2)
DIAMOND HILL INVESTMENT GROUP INC (3)
Donnelley Financial Solutions, Inc. (3)
E*Trade (1)
Eaton Vance Corp (1)
Evercore (3)
Franklin Resources (31)
Freedom Holding Corp. (4)
GAIN Capital Holdings, Inc. (1)
GCM Grosvenor Inc. (3)
GLADSTONE CAPITAL CORP (1)
GLADSTONE INVESTMENT CORPORATION (1)
GlassBridge Enterprises, Inc. (14)
Goldman Sachs (27)
Great Elm Capital Group, Inc. (3)
HENNESSY ADVISORS INC (1)
Heritage Global Inc. (1)
HOULIHAN LOKEY, INC. (7)
INTL FCStone Inc. (1)
Invesco Ltd. (3)
Investment Technology Group, Inc. (5)
Janus Henderson Group plc (9)
KCAP Financial, Inc. (1)
KKR & Co. Inc. (7)
LADENBURG THALMANN FINANCIAL SERVICES INC. (1)
Lazard Ltd (4)
Legg Mason Inc (5)
LPL Financial Holdings Inc. (12)
Main Street Capital CORP (2)
MarketAxess Holdings Inc (1)
MEDLEY MANAGEMENT INC. (1)
Moelis & Co (2)
Moody's Corp (8)
Morgan Stanley (20)
Morningstar, Inc. (2)
MSCI Inc (14)
Nasdaq, Inc. (15)
NATIONAL HOLDINGS CORP (5)
Nebula Parent Corp. (3)
Northern Trust Corp. (15)
Och-Ziff Capital Management Group LLC (11)
OPPENHEIMER HOLDINGS INC (3)
Piper Jaffray Companies (29)
QUOTEMEDIA INC (1)
Raymond James Financial Inc. (4)
Robinhood Markets, Inc. (1)
S&P Global, Inc. (11)
SAFEGUARD SCIENTIFICS INC (22)
Silvercrest Asset Management Group Inc. (1)
State Street Corp. (22)
T. Rowe Price Group (4)
Tango Holdings, Inc. (1)
TD AMERITRADE HOLDING CORP (14)
The Bank of New York Mellon Corp. (4)
TPG Partners, LLC (2)
VALUE LINE INC (1)
Victory Capital Holdings, Inc. (3)
Virtu Financial, Inc. (1)
VPC Impact Acquisition Holdings (2)
Waddell & Reed Financial, Inc. (12)
WESTWOOD HOLDINGS GROUP INC (7)
WisdomTree Investments, Inc. (1)
Wright Investors Service Holdings, Inc. (5)

Recent Contracts

Category

Company

Industry

Jur. Jurisdiction

Filed

Open Lending Corporation Third Amended and Restated Non-Employee Director Compensation Policy

Compensation Agreements

Nebula Parent Corp.

Capital Markets

2025

The Carlyle Group Inc. Outside Director Deferral and Stock Election Form

Compensation Agreements

Carlyle Group L.P.

Capital Markets

2025

Piper Sandler Companies 2025 Non-Employee Director Compensation Program Summary

Compensation Agreements

Piper Jaffray Companies

Capital Markets

2025

Janus Henderson Group plc Global Remuneration Policy Statement (GRPS)

Compensation Agreements

Janus Henderson Group plc

Capital Markets

2025

Morgan Stanley Schedule of Non-Employee Directors’ Annual Compensation (Effective November 1, 2024)

Compensation Agreements

Morgan Stanley

Capital Markets

2025

Morgan Stanley Executive Health and Retiree Health Coverage Description for Operating Committee Members

Compensation Agreements

Morgan Stanley

Capital Markets

2025

GCM Grosvenor, Inc. Non-Employee Director Compensation Policy (Effective April 1, 2025)

Compensation Agreements

GCM Grosvenor Inc.

Capital Markets

2025

MSCI Inc. Non-Employee Director Compensation Program

Compensation Agreements

MSCI Inc

Capital Markets

2025

Addendum to Board of Directors Agreement between Freedom Finance Global PLC and Yevgeniy Ler (May 2024)

Compensation Agreements

Freedom Holding Corp.

Capital Markets

2025

Addendum No. 2 to Board of Directors Agreement between Freedom Finance Global PLC and Askar Tashtitov (May 2024)

Compensation Agreements

Freedom Holding Corp.

Capital Markets

2025

Prime Executions, Inc. 2024 Salary Increase Memorandum for Robert Wotczak

Compensation Agreements

Freedom Holding Corp.

Capital Markets

2025

Bakkt Holdings, Inc. Outside Director Compensation Program

Compensation Agreements

VPC Impact Acquisition Holdings

Capital Markets

2024

MarketWise, Inc. Non-Employee Director Compensation Policy (Effective August 1, 2024)

Compensation Agreements

Ascendant Digital Acquisition Corp.

Capital Markets

2024

MSCI Inc. Executive Committee Stock Ownership Guidelines Effective January 1, 2019

Compensation Agreements

MSCI Inc

Capital Markets

2024

LPL Financial Holdings Inc. Non-Employee Director Compensation Policy (Effective May 9, 2024)

Compensation Agreements

LPL Financial Holdings Inc.

Capital Markets

2024

Value Line, Inc. Clawback Policy for Incentive Compensation (Effective December 1, 2023)

Compensation Agreements

VALUE LINE INC

Capital Markets

2024

MSCI Inc. 2016 Non-Employee Directors Restricted Stock Unit Award Agreement

Compensation Agreements

MSCI Inc

Capital Markets

2024

Houlihan Lokey, Inc. Director Compensation Program (Revised May 1, 2024)

Compensation Agreements

HOULIHAN LOKEY, INC.

Capital Markets

2024

Amended and Restated Clawback Policy of The Goldman Sachs Group, Inc.

Compensation Agreements

Goldman Sachs

Capital Markets

2024

Heritage Global Inc. Compensation Recoupment Policy (Clawback Policy)

Compensation Agreements

Heritage Global Inc.

Capital Markets

2024

Bridge Investment Group Holdings Inc. Policy for Recovery of Erroneously Awarded Compensation

Compensation Agreements

Bridge Investment Group Holdings Inc.

Capital Markets

2024

Second Amendment to Diamond Hill Variable Term Deferred Compensation Plan

Compensation Agreements

DIAMOND HILL INVESTMENT GROUP INC

Capital Markets

2024

Independent Director Compensation Program as of September 20, 2023

Compensation Agreements

KKR & Co. Inc.

Capital Markets

2024

Open Lending Corporation Second Amended and Restated Non-Employee Director Compensation Policy

Compensation Agreements

Nebula Parent Corp.

Capital Markets

2024

Northern Trust Corporation Deferred Compensation Plan (Amended and Restated as of January 1, 2024)

Compensation Agreements

Northern Trust Corp.

Capital Markets

2024

Janus Henderson Group plc Global Remuneration Policy Statement (GRPS) – February 2024

Compensation Agreements

Janus Henderson Group plc

Capital Markets

2024

Piper Sandler Companies 2024 Non-Employee Director Compensation Program Summary

Compensation Agreements

Piper Jaffray Companies

Capital Markets

2024

Moelis & Company Group LP Performance-Based Vesting Agreement with Participant

Compensation Agreements

Moelis & Co

Capital Markets

2024

Moelis & Company Executive Officer Clawback Policy Effective November 1, 2023

Compensation Agreements

Moelis & Co

Capital Markets

2024

Relocation Repayment Agreement between Cboe Global Markets, Inc. and Fredric Tomczyk

Compensation Agreements

Cboe Global Markets

Capital Markets

2024

MSCI Inc. Non-Employee Director Compensation Policy Effective May 1, 2024

Compensation Agreements

MSCI Inc

Capital Markets

2024

MarketWise, Inc. Non-Employee Director Compensation Policy (Effective August 2, 2023)

Compensation Agreements

Ascendant Digital Acquisition Corp.

Capital Markets

2023

Blucora, Inc. Nonemployee Director Compensation Policy (Amended May 18, 2022)

Compensation Agreements

Blucora, Inc.

Capital Markets

2023

Nasdaq, Inc. Amended and Restated Board Compensation Policy (Non-Employee Directors) as of June 21, 2023

Compensation Agreements

Nasdaq, Inc.

Capital Markets

2023

Houlihan Lokey, Inc. Director Compensation Program (Revised May 26, 2022)

Compensation Agreements

HOULIHAN LOKEY, INC.

Capital Markets

2023

MarketWise, Inc. Non-Employee Director Compensation Policy (Effective July 28, 2022)

Compensation Agreements

Ascendant Digital Acquisition Corp.

Capital Markets

2023

WisdomTree Investments, Inc. Non-Employee Directors’ Deferred Compensation Program Agreement

Compensation Agreements

WisdomTree Investments, Inc.

Capital Markets

2023

Janus Henderson Group plc Global Remuneration Policy Statement (GRPS) – February 2023

Compensation Agreements

Janus Henderson Group plc

Capital Markets

2023

Morgan Stanley Schedule of Non-Employee Directors’ Annual Compensation (Effective November 1, 2022)

Compensation Agreements

Morgan Stanley

Capital Markets

2023

TPG Inc. Independent Director Compensation Policy (Effective February 10, 2023)

Compensation Agreements

TPG Partners, LLC

Capital Markets

2023