Browsing: Compliance

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MiFID II like Rules Not Coming to the US, Though Unbundling Will

03/28/2019
According to a survey released today by EvercoreISI, only 5% of US asset managers believe that US regulators will implement MiFID II-like research unbundling rules anytime in the next five ...
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MiFID II like Rules Not Coming to the US, Though Unbundling Will

03/28/2019
According to a survey released today by EvercoreISI, only 5% of US asset managers believe that US regulators will implement MiFID II-like research unbundling rules anytime in the next five ...
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SIFMA Urges SEC to Harmonize with MiFID II

03/26/2019
Three days after the Securities and Exchange Commission signaled that it would likely not extend the current exemption allowing brokers to accept cash payments for research, the trade association for ...
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The Current Winners from MiFID II

03/25/2019
Almost 15 months after the roll-out of MiFID II, there have been countless articles, panels and media discussions about the intended and unintended costs of new regulation.  However, rarely have ...
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SEC Signals No Harmonization With MiFID II

03/20/2019
In a speech made Monday at an industry conference, the head of the Security and Exchange Commission’s Division of Investment Management strongly indicated that the regulator will not extend the ...
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MiFID II Adds Pressure to Shrinking Asset Management Industry

03/18/2019
The growing M&A trend in the asset management industry is being caused by a number of factors, including shrinking revenue due to the rise in passive management, and rising costs ...
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State-Level Privacy Legislation Poses Risks for Alternative Data

03/01/2019
At least nine US states are drafting privacy legislation modeled on California’s new regulations due to go into effect the end of this year, posing hazards for investors using consumer-derived ...
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UK Regulators Throw IRPs a Bone

02/26/2019
Speaking to Euro IRP, the trade association for European independent research firms, FCA chief Andrew Bailey indicated that asset managers could trial independent non-brokerage research without it being considered an ...
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Survey: European Asset Managers Judge MiFID II As Failure

02/21/2019
In the first European-wide survey of asset managers since MiFID II was instituted, the CFA Institute found that a majority of investment managers in all areas of the EU believe ...
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SEC Receives Few Comments on MiFID II Research Unbundling

02/15/2019
The US Securities and Exchange Commission received only five comment letters in response to its request for input whether to extend relief for cash payments made to US banks for ...
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