Browsing: Regulatory

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Sell-Side Innovation & Differentiation of the Research Product

11/18/2019
Last week, following a number of meetings in New York and London, we identified a number of ways that various investment banks are enhancing and differentiating their research products in ...
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LinkedIn Requests Review of Ruling Favoring Web Scraping

11/11/2019
LinkedIn is seeking to reopen a landmark case affecting the legality of web scraping after losing its appeal.  The move fuels concerns that the ruling favoring the scraping of public ...
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SEC Kicks MiFID II Can Further Down the Road

11/05/2019
As expected, the US Securities and Exchange Commission extended its ‘no action’ relief, allowing asset managers subject to MiFID II to make cash payments to US brokers for an additional ...

MiFID II Impacts Research Coverage and Quality

10/21/2019
According to a recent survey conducted by UK-based consulting firm, Citigate Dewe Rogerson, over 52% of the UK investor relations professionals surveyed reported a decline in sell-side analyst coverage while ...
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Former Credit Suisse Equity Research Head Joins Redburn

09/30/2019
UK-based independent research firm, Redburn, recently added Steve East, the former head of EMEA equity research at Credit Suisse.  Mr. East joins Redburn as head of sector research and will ...
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California Requires Data Brokers to Register

09/24/2019
The California legislature passed a law requiring firms that aggregate and sell data collected from individuals to register with, and provide certain information to, the state’s Attorney General.  The broadly ...
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FCA’s MiFID II Review Shows 20% to 30% Research Budget Reductions

09/23/2019
The UK’s Financial Conduct Authority recently released its eagerly awaited review on MiFID II.  The report revealed a number of findings, including that asset managers have reduced their research spending ...
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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 ...
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