Browsing: Compliance


Corporate Access Platform CorpAxe Licenses Research Consumption Data From RSRCHXchange

Corporate access management platform CorpAxe licensed research consumption data from research aggregator RSRCHXchange for inclusion in its broker voting and resource consumption tracking software.  Separately, RSRCHXchange created a desktop version ...
Premium Exclusive Revising Standards For Research Entitlements

05/26/2017, an industry association focused on electronic research distribution, formed a working group to examine the feasibility of standardizing the entitlement process across providers, as brokers upgrade their entitlement systems to ...

MiFID II: Commissions Cannot Fund RPAs in USA

As we wrote last week, global asset managers have been slowly learning that a number of MiFID II research unbundling rules conflict with US regulatory practice, including the ability to ...

Castine Licenses ONEaccess Interactions Data For MiFID II RPA Solution

Castine Consulting LLC, a commission management solution provider, has become the fifth vendor to integrate interactions data from corporate access calendar provider ONEaccess into its RPA Centre solution. Broker-owned ONEaccess ...

MiFID II: Conflicting Regulatory Approach to Cross Subsidization

Global asset managers are discovering that the new MiFID II research unbundling rules conflict with US regulatory practice in a number of areas.  One such issue is how the EU, ...
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MiFID II and US Regulation Clash In Treatment of Corporate Access

A major challenge for global asset managers implementing the MiFID II research inducement provisions is the divergence between new MiFID rules and US regulatory practices.  One major flashpoint is the ...

Aberdeen Projects £10 million Equity Research Payments From P&L

In a recent earnings call, Aberdeen Asset Management, a UK asset manager with over £300 billion (US$390 billion) in assets under management, said it expects to spend £10 million (US$13 ...

Henderson Global Investors Will Not Pay For Research From P&L

In a recent earnings call, UK asset manager Henderson Global Investors said it would be funding research payments alongside commissions under forthcoming MiFID II regulation. Andrew Formica, Chief Executive, responded ...
Premium Developing Standards For Interactions Data

05/05/2017, an industry association focused on electronic research distribution, formed a working group to create open standards for capturing research-related interactions between the sell-side and buy-side, as a result of new ...
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Research Unbundling: From the UK With Love

The MiFID II rules designed to separate research payments from commission payments are the outgrowth of escalating regulatory concerns over bundled research payments, primarily rising from the UK. Origins   The ...
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