Browsing: Compliance

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European Independents Renew Call for Regulatory Intervention

08/13/2018
In a second annual survey conducted by trade association Euro IRP, the majority of members agreed that regulators should respond urgently to ‘predatory pricing’ by investment banks.  Despite this, the ...
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New Apple Policies Threaten Alternative Data

08/06/2018
New Terms of Service required of developers marketing their products via the Apple App Store have introduced heightened legal risks to using data collected by iOS apps – an issue ...
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SEC Issues Warning on Best Execution and Soft Dollars

07/16/2018
The SEC’s inspections unit issued a ‘Risk Alert’ summarizing the most common deficiencies pertaining to best execution and soft dollars that its staff has cited in the wake of investment ...
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Latest MiFID II Guidance Fails to Bring Relief to Independent Boutiques

07/13/2018
Despite lobbying by independent boutiques, new guidance from European regulators ignored requests for exemptions from MiFID II strictures for research providers which do not have trading desks or offer investment ...

Canaccord Genuity Adds Three Analysts to UK Financials Team

07/05/2018
Canadian investment bank, Canaccord Genuity, recently announced that it had added three experienced equity research analysts to its UK-based Financials research.  Management noted that MiFID II was part of the ...
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Frost Consulting Collaborates With European Rating Agency to Evaluate Research Procurement

06/27/2018
Frost Consulting, a London-based consulting firm focused on commission unbundling, has jointly launched with Berlin-based Scope Analysis a 'Research Process Rating' designed to reassure asset owners that research processes are ...
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Research Funding Update: More Asset Managers Paying Alongside Commissions

06/25/2018
We added only a few new managers to our latest research funding scorecard—all of whom paying research costs alongside commissions.  Consequently assets associated with P&L payments for research no longer ...
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Why Can’t U.S. Sell-Side Research Departments Become RIAs?

06/14/2018
In the wake of MiFID II, many financial market participants continue to argue how US investment banks can accept cash payments from asset managers for their research and not violate ...
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The US Will Not Follow MiFID II Unbundling

06/13/2018
The central discussion at yesterday’s well-attended Unbundling Uncovered USA conference organized by Substantive Research was when the rigorous new requirements governing the purchase of investment research might be cascading to ...
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Asset Managers Sour On MiFID II Unbundling

06/13/2018
European portfolio managers and analysts have a negative view of MiFID II research unbundling, which is largely shared by asset managers outside Europe, according to a new survey by research ...
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