Browsing: Exclusives

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Expert Networks Continue to Present Compliance Challenges

02/17/2020
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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Visible Alpha Promotes Mark Hale to CEO

02/13/2020
Visible Alpha, the New York-based research technology firm founded by a consortium of sell-side investment banks, just announced the appointment of Mark Hale as Chief Executive Officer.  Mr. Hale succeeds ...
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US IPO Activity Starts off Steady in 2020

02/12/2020
US IPO activity started off the year steady in January 2020 as 9 deals were priced during the month, 13% higher than the number of new deals priced in December.  ...
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No Worries as Evercore ISI Revenues Slide

02/11/2020
Evercore ISI revenues continued their decline through 2019 yet Evercore management professed comfort in belief that its research was gaining share.  Evercore announced a 6% reduction in staff but insisted ...
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Alternative Data, It’s Not Just For Hedge Funds Any More

02/10/2020
The following is a guest article by Jeff West, the founder of StreetFeeds, a leading provider of product development, licensing, and distribution services to the financial market data industry (www.streetfeeds.com).  ...
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France Proposes Sweeping Reform to MiFID II Unbundling

02/04/2020
A report sponsored by French regulators recommended extensive revisions to MiFID II’s research inducement rules.  Unlike a MiFID II review conducted UK regulators which supported the status quo, French opposition ...
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Buy-Side Spending on Research Expected to Continue Falling in 2020

01/30/2020
According to Integrity Research’s annual research industry outlook, spending by global asset managers on sell-side and independent research is expected to fall 5.5% in 2020 – marking the third consecutive ...
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Despite Solid Q4 Equities Revenues, US Bulge Firms Get Jitters About 2020

01/28/2020
For the final quarter of 2019, equities revenues of the largest US banks slid 8% sequentially yet remained slightly above 2018 results.  The respectable quarterly results contributed to a strong ...
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Can Asset Managers Not Subject to MiFID II Use Cash to Pay for US Research?

01/27/2020
On November 4, 2019, the SEC extended its “no-action” relief permitting US broker-dealers to accept cash payments for its research from asset managers who are subject to MiFID II until ...
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Differential Privacy Technique Trumps Anonymized Data But Still Not Perfect

01/17/2020
Firms are embracing differential privacy to better protect the confidentiality of individual user data.  The system, developed by cryptographers, is more robust than simply anonymizing data, yet still has vulnerabilities ...
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