Browsing: Compliance

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French Regulators Issue Final Commentary On MiFID II Research Unbundling

02/17/2017
French regulators continued their campaign to isolate and displace UK regulators as the arbiters of European financial regulation by releasing commentary on the industry responses to its consultation paper on ...
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Convergex Hires New UK Commission Management Head

02/16/2017
Convergex’s Westminster Research Associates, one of the top commission aggregators in the US, hired a veteran UK salesperson to head its European commission management effort.  Westminster is hoping to expand ...
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Deutsche Bank Researcher Rebuts Negative Press View of Investment Research

02/15/2017
Former FT journalist Stuart Kirk, now head of thematic research for Deutsche Bank, authored a vigorous defense of investment research which was published as an op-ed in the Financial Times ...
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Research Aggregator Alpha Exchange Fleshes Out Its Capabilities

02/09/2017
After its ‘soft launch’ last September, research distribution platform Alpha Exchange has released additional capabilities, including research consumption tracking, evaluation tools, and research budgeting. Co-founder Emma Margetts estimated in an ...
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Gerson Lehrman Adds Outsourced Chaperoning

02/08/2017
Leading expert network Gerson Lehrman Group (GLG) has partnered with compliance consultant ACA Compliance Group to offer outsourced chaperoning of expert consultations. The new service is part of ACA’s off-site ...
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IHS Markit Will Integrate Corporate Access Data From ONEaccess Into Its New Platform

02/06/2017
As part of the overhaul of its commission management offering, IHS Markit will incorporate the corporate access calendar from ONEaccess into its corporate access platform, Markit Interactions. Although Markit Interactions ...
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MiFID II Seeks To Abolish Firehose Distribution Of Research

02/06/2017
Amid all the confusion about the research payment rules under MiFID II, little attention has been given to the new requirement that asset managers block unwanted research. Research providers in ...
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Instinet Launches MiFID II Enhancements To Its Commission Management Platform

02/03/2017
Instinet has released new commission management capabilities designed support the new world of ring-fenced Research Payment Accounts which are distinct from the current industry practice of using broker-controlled commission pools. ...
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Macquarie Launches New MiFID II Pricing Structure For Research

02/01/2017
In a response to MiFID II requirements for providers of bundled research to offer more explicit pricing, Macquarie Group has launched a new research pricing structure combining an initial subscription ...
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US Brokers Pursue Solutions to MiFID II Problem of Paying Cash For US Research

01/31/2017
We are hearing from various sources that the Securities Industry and Financial Markets Association (SIFMA), a trade organization for the US securities industry, has had a change of heart and ...
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