Browsing: Compliance

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Survey: European Asset Managers Judge MiFID II As Failure

02/21/2019
In the first European-wide survey of asset managers since MiFID II was instituted, the CFA Institute found that a majority of investment managers in all areas of the EU believe ...
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SEC Receives Few Comments on MiFID II Research Unbundling

02/15/2019
The US Securities and Exchange Commission received only five comment letters in response to its request for input whether to extend relief for cash payments made to US banks for ...
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Janus Henderson: Watchful Waiting on Absorbing US Research Costs

02/11/2019
During Janus Henderson’s most recent earnings call, company management said it was taking a ‘wait and see’ approach to absorbing research costs in the US. In a call last week, ...
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Five US Brokers Register Their Research Units as Investment Advisors

02/06/2019
A review of regulatory filings indicates that five US broker-dealers have registered their research units as investment advisors to accommodate cash payments for research and a sixth which is the ...
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The Tax Burden of MiFID II

02/04/2019
The following is a guest article by Chris Newson, founder of CN Business Consulting Ltd and most recently a Director at Citigroup where he was responsible for research revenue management ...
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Maybank Shutters Hong Kong & China Equity Research Operations

01/31/2019
Malayan Banking Bhd (Maybank), recently announced that it is closing its institutional equity research coverage of the Hong Kong and China markets, to focus instead on Southeast Asian research. Maybank’s ...
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MiFID II Causes Research Sales to Fall Again in 2019

01/28/2019
According to Integrity Research’s latest annual forecast, research sales are expected to fall 5.5% in 2019 following the more significant decline seen in the prior year as asset managers continue ...
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FCA Censures Axiom Equity Research

01/16/2019
The UK Financial Conduct Authority issued a warning against Axiom Equity Research, stating that the firm was not authorized to offer its services in the UK.  As a result, the ...
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Why Research Budgets are Like Comparing Apples and Oranges

01/14/2019
One question many asset managers have been asking in recent months is how large should their research budgets be in today’s post MiFID II environment?  While the answer to this ...
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The Corporate Access Conundrum

01/09/2019
The following is a guest article by Chris Newson, founder of CN Business Consulting Ltd and most recently a Director at Citigroup where he was responsible for research revenue management ...
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