Browsing: Regulatory

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Research Spending Update: 2018 Research Outlays Track Close to Budget

04/17/2019
With the exception of DWS, which seems to have overshot its research budget by almost a third, most European asset managers which had previously disclosed research budgets for 2018 ended ...
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Research Funding Update: US Stalemate

04/16/2019
US regulators are pouring cold water on broadening the ability for US asset managers to pay cash for US broker research, bringing US moves to absorb research costs to a ...
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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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SEC: Read My Lips, No MiFID II Harmonization

03/29/2019
For slow learners who had trouble deciphering the message delivered last week by the head of the SEC’s Division of Investment Management (yes, you SIFMA), SEC Chairman Jay Clayton said ...
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MiFID II like Rules Not Coming to the US, Though Unbundling Will

03/28/2019
According to a survey released today by EvercoreISI, only 5% of US asset managers believe that US regulators will implement MiFID II-like research unbundling rules anytime in the next five ...
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MiFID II like Rules Not Coming to the US, Though Unbundling Will

03/28/2019
According to a survey released today by EvercoreISI, only 5% of US asset managers believe that US regulators will implement MiFID II-like research unbundling rules anytime in the next five ...
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SIFMA Urges SEC to Harmonize with MiFID II

03/26/2019
Three days after the Securities and Exchange Commission signaled that it would likely not extend the current exemption allowing brokers to accept cash payments for research, the trade association for ...
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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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SEC Signals No Harmonization With MiFID II

03/20/2019
In a speech made Monday at an industry conference, the head of the Security and Exchange Commission’s Division of Investment Management strongly indicated that the regulator will not extend the ...
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MiFID II Adds Pressure to Shrinking Asset Management Industry

03/18/2019
The growing M&A trend in the asset management industry is being caused by a number of factors, including shrinking revenue due to the rise in passive management, and rising costs ...
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