Browsing: Compliance

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Survey: FICC Research Takes a MiFID II Hit

12/11/2018
Nearly 70% of European asset managers have cut back their use of fixed income, currencies and commodities (FICC) research in the wake of MiFID II, according to a survey by ...

MiFID II Isn’t Working as Intended and Investors are Losing as a Result

12/06/2018
The following is a guest article authored by Scott Davis and Carter Copeland, founding partners of Melius Research, a  boutique research firm focused on the industrials sector launched in October ...
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Thasos Response to Apple Terms of Service Change

12/05/2018
In response to Apple changing its Terms of Service, geolocation data provider Thasos Group decided to make the difficult decision to completely eliminate the use of iOS data in their ...
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Thasos Response to Apple Terms of Service Change

12/03/2018
In response to Apple changing its Terms of Service, geolocation data provider Thasos Group decided to make the difficult decision to completely eliminate the use of iOS data in their ...
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French Attack MiFID II Research Unbundling Provisions

12/03/2018
Here’s a delicious irony: Brexit will allow Europe to throw off the yoke of burdensome UK regulation – in this case research unbundling rules imposed by UK regulators while MiFID ...
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Research Funding Update: Rumors About US Asset Managers Reimbursing Research Costs

11/30/2018
US brokers are buzzing with rumors about US managers considering reimbursing research costs globally.  So far, apart from a handful of US managers led by Massachusetts Financial Services (MFS), most ...
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Takeaways from London

11/15/2018
Earlier this week, I was in London to moderate a panel at the 4th annual Substantive Research Unbundling Uncovered conference addressing industry developments surrounding MiFID II.  While in the City, ...
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Negotiations on SEC “No Action” Letter Slow Going

11/12/2018
Panelists at last Thursday evening’s INTL FCStone panel on MiFID II revealed that industry negotiations with the SEC regarding their temporary “no action” letter allowing US investment banks to receive ...
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SEC Accuses Small Cap Research Firm of Fraud

11/09/2018
The Securities and Exchange Commission charged a US small cap stock research firm, SeeThruEquity LLC, and its co-founders with defrauding investors by falsely claiming its reports were ‘unbiased’ and ‘not ...
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Insight on SEC “No Action” Letter About Cash Payment for Bank Research

11/08/2018
Today, broker-dealer INTL FCStone, will be sponsoring a panel discussion in NYC regarding the impact MiFID II is or is likely to have on US asset managers.  One of the ...
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