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SEC Confirms they are Actively Seeking MiFID II Solutions

05/20/2019
At an industry conference held last week, two SEC representatives acknowledged that the commission is actively looking for solutions to enable asset managers to pay for US broker research once ...
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America’s Response to MiFID II’s Research Regulations

05/13/2019
The following is a guest article by Mike Carrodus, founder of Substantive Research, a research curation and benchmarking service, which will be hosting a conference on the implications of MiFID II ...
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Wall Street Jobs Outlook Improves in April Though Still Fragile

05/06/2019
Layoffs on Wall Street plunged in April, while new hiring plans remained anemic for the third consecutive month.  Despite this one month performance, year-to-date layoffs remain significantly higher than last ...

Ex-S&P Analyst Found Guilty of Insider Trading

04/29/2019
Recently, a Manhattan federal jury took a little over two hours to find former Standard & Poor’s credit analyst, Sebastian Pinto-Thomaz, guilty of illegally tipping two friends about the $9.3 ...
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Research Payments Sag in Europe and UK, According to Integrity Research Pricing Benchmark Study

04/23/2019
Average European research payments lagged North American research payments by over 40%, according to data from Integrity Research’s fourth major benchmark study of research pricing.   The survey results indicate ...
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McKinsey: Traditional Asset Managers Are Embracing AI and Alternative Data

04/15/2019
A recent McKinsey white paper argues that artificial intelligence is broadly impacting the asset management industry, not only transforming the traditional investment process.  As more asset managers bring AI in-house, ...
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Social Media Risks Increasing for Research Firms

04/08/2019
The following is a guest article by Susan Mathews, Principal  & Founder of Madigail Consulting, LLC a securities compliance consultant providing research and ethics compliance, training and external CCO services ...
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Technology Boutique Summit Insights Group Joins Research Alliance

04/02/2019
Summit Insights Group, a fundamentals-driven technology research firm, joined the recently formed Research Alliance (www.theresearchalliance.com) sponsored by the sales agency previously known as Financial Research Solutions.  Note: Integrity Research is ...
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1st Qtr 2019 US IPO Market Weakest Since 2016

04/01/2019
According to global IPO investment advisor Renaissance Capital, only 18 IPOs were priced in the US during the 1st Qtr of 2019, the lowest number of IPOs seen in a ...
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The Current Winners from MiFID II

03/25/2019
Almost 15 months after the roll-out of MiFID II, there have been countless articles, panels and media discussions about the intended and unintended costs of new regulation.  However, rarely have ...
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