Browsing: Compliance

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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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Greenwich: European Research Spending Down 20%

11/05/2018
A recent Greenwich Associates survey estimates that European asset managers have cut their research spending by 20% leading Business Insider to declare that “Bank analysts are getting crushed” but the ...
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Fourth Annual Unbundling Uncovered Conference Slated to be Held in London

11/01/2018
On Tuesday, November 13th, Substantive Research will be holding its fourth annual Unbundling Uncovered conference in London to foster an industry-wide discussion of how the financial services industry is adapting ...
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UK Research Coverage Slipping Though Analyst Hiring Holding Steady Post MiFID II

10/29/2018
Data compiled by Reuters shows that research coverage of both small cap and larger cap companies has dropped since the implementation of MiFID II at the beginning of 2018.  Despite ...
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MiFID II Increases Risk of Research Underspending – Performance Implications?

10/17/2018
The following is a guest article by Neil Scarth, Principal of Frost Consulting (http://www.frostconsulting.co.uk/) which provides customizable research budgeting/valuation frameworks and research spending databases. There is a deafening silence regarding the ...
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