Browsing: Regulatory

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Moody’s Warns MiFID II Negative For European Asset Managers

01/17/2018
Moody's Investors Service said MiFID II would be ‘credit negative’ for the European asset management industry, pressuring profits and forcing more industry consolidation. The report cited an estimate from consulting ...
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Second Round of Landmark Web Crawling Case Attracts Another Amicus Brief

01/12/2018
The importance of LinkedIn’s pending 9th Circuit appeal to vacate a district court judge’s order preventing it from blocking hiQ Labs from accessing publicly available data is further underlined by ...
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European Investors Plan Less Corporate Access From Banks Post-MiFID II

01/11/2018
European asset managers expect to use investment banks less for corporate access and rely more on direct engagement with companies, according to a survey by London-based investor relations firm QuantiFire ...
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Greenwich: European Equity Research Budgets Will Decline 20%

01/09/2018
European asset managers are expected to cut their equity research spending by twenty percent by reducing the number of research providers they use, according to a survey conducted by Greenwich ...
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Research Funding Update: Last Minute Scramble Narrows Gap Between P&L Assets and Status Quo

01/05/2018
Numerous European asset managers held out until the MiFID II deadline before deciding to absorb research costs. The largest European asset manager – Amundi which manages €1.4 trillion ($1.7 trillion) ...
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Alphametry Publishes Buy-Side Research Unbundling Guide

01/04/2018
Timed to be launched with the implementation of MiFID II, research management platform provider Alphametry, recently published a new white paper titled, The Asset Manager’s Regulatory Guide to Research Unbundling ...

Citigroup Fined $11.5 mln for Displaying Inaccurate Research Ratings

01/02/2018
Last week the Financial Industry Regulatory Authority (FINRA) announced that it had fined New York investment bank Citigroup Global Markets $5.5 mln and mandated the firm pay $6 mln in ...
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Will MiFID II Impact US Asset Managers?

12/29/2017
One of the big questions we’ve been asked whenever the topic of MiFID II has come up is how this new EU regulation will impact US asset managers and the ...
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2017 Review: Other Regulatory

12/28/2017
Although MiFID II dominated the 2017 regulatory landscape (see our analysis of MiFID II’s successes and failures), other regulatory and legal developments during the year had import for investment research. ...
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2017 Review: MiFID II’s Failures Are Already Apparent

12/27/2017
When it goes into effect next week, MiFID II’s research unbundling provisions will create intended and unintended consequences for the European research industry, along with global ramifications.  In some respects, ...
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