Browsing: Compliance

Premium Exclusive

Research Funding Update: As Fidelity Flips, P&L Assets Now Outweigh Ring-Fenced Assets

02/28/2018
Our research funding scorecard now shows for the first time that, for asset managers with declared MiFID II policies, the assets under management associated with out-of-pocket research payments now exceed ...

Scandinavian Banks Turn to Issuer Sponsored Research as MiFID II Solution

02/26/2018
Oslo-based bank, DNB has recently announced that it plans to offer “issuer sponsored” research as a way to finance the production of research for uncovered or under covered companies and ...
Exclusive

MiFID II’s Failures Are Already Apparent

02/12/2018
The following is a reprint of an exclusive article published for ResearchWatch subscribers on December 27, 2017. MiFID II’s research unbundling provisions, which went into effect early last month, will create ...
Premium Exclusive

French Regulators Update Research Unbundling Guidance

01/30/2018
L’Autorité des Marchés Financiers (AMF) issued an updated version of its “Guide: Funding of Research by Investment Service Providers Under MiFID II” originally published August 2017.  See our original discussion ...
Premium Exclusive

Frost Consulting Launches Research Spending Benchmarking

01/29/2018
Frost Consulting, a London-based consulting firm focused on commission unbundling, is launching a new service designed to provide asset managers with peer comparisons of research spending. Asset managers interested in ...
Exclusive

New Standard-Setting Body Establishes Alternative Data Best Practices

01/25/2018
The Investment Data Standards Organization (IDSO), a non-profit comprised of producers, distributors and users of alternative data, has launched industry best practices designed to mitigate legal and compliance risks and ...
Premium Exclusive

MiFID II Forces Asset Managers to Filter E-Mail

01/23/2018
The implementation of MiFID II a few weeks ago has prompted numerous changes in behavior from both sell-side and buy-side firms who are trying to adopt the EU’s new research ...
Exclusive

Commission Aggregation Evolves Post-MiFID II

01/22/2018
The following is a guest article from Amrish Ganatra, Managing Director of Commcise Software Limited, a London-based provider of commission management software including commission aggregation services.  With little innovation over the last ...
Exclusive

New Paper Calls For Alternative Data Industry Standards to Mitigate Risks

01/22/2018
Legal and regulatory risks associated with alternative data are increasing along with media scrutiny as data diversity and usage grows, according to a white paper released by Integrity Research Associates.  ...
Premium

Moody’s Warns MiFID II Negative For European Asset Managers

01/17/2018
Moody's Investors Service said MiFID II would be ‘credit negative’ for the European asset management industry, pressuring profits and forcing more industry consolidation. The report cited an estimate from consulting ...
1 2 3 4 61