Browsing: Regulatory

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Baird Fined $150,000 in Research Conflict of Interest Settlement

09/16/2019
Milwaukee-based regional investment bank, Robert W. Baird, was recently fined $150,000 by FINRA for a 2013 incident where the bank allegedly failed to disclose a conflict of interest by one ...
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Federal Court Rules in Favor of Web Scraping

09/11/2019
In a closely followed case affecting the legality of web scraping, LinkedIn lost its appeal of a lower court injunction allowing hiQ Labs to continue scraping public data on LinkedIn’s ...
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Germany Proposes Reform to MiFID II

09/03/2019
The German Ministry of Finance (Bundesfinanzministerium, BMF) submitted proposals to the European Commission expressing concerns about MiFID II’s impact on research coverage for small to medium enterprises (SMEs).  In contrast ...

RBC Analyst Arrested for Insider Trading

08/26/2019
In recent weeks, RBC Capital Markets junior investment banking analyst, Bill Tsai, was arrested for insider trading ahead of their April announcement that private equity firm Siris Capital Group would ...
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Biotech Firm Fined for Reg FD Violations

08/22/2019
The Securities and Exchange Commission settled charges that TherapeuticsMD, a pharmaceutical company developing women’s hormonal therapy and contraceptive products, violated Regulation Fair Disclosure in connection with its sharing of material, ...
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European Privacy Researchers De-Anonymize Personal Data

08/19/2019
A handful of European academics have made it their mission to demonstrate how easily personally identifiable information (PII) can be extracted from anonymous data.  They argue that even recent regulation ...
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Transaction Data Provider Yodlee Hit by Lawsuit

08/16/2019
Leading transaction data provider Envestnet Yodlee is the subject of a $100 million lawsuit from a former software partner claiming infringement of its intellectual property rights.  Although the lawsuit may ...
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Research Funding Update: Slowly, Slowly More Asset Managers Absorb Research Costs

07/29/2019
In contrast to the stampede of European asset managers choosing to absorb research costs, a trickle of US asset managers are choosing to reimburse research expenses. T. Rowe Price finally ...
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Study: MiFID II Causes Dropped Coverage for Hundreds of European Firms

07/25/2019
According to a recently published academic study, hundreds of European firms lost their analyst coverage while at the same time the overall number of sell-side analysts covering European companies dropped ...
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Federal Privacy Law Likely

07/24/2019
This is the second article of two-part series reviewing pending US regulation of personally identifiable information which impacts the collection and dissemination of alternative data.  In this article, we review ...
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