Browsing: Compliance

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Study: European Asset Managers Slash Research Counterparties, Not Research Spending

09/18/2018
A buy-side survey conducted by RBC Capital Markets indicates that MiFID II’s research unbundling provisions have significantly reduced the number of research providers European asset managers use, yet overall research ...
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New Report Cites Covert Geolocation Data Collection

09/12/2018
A new company founded by a privacy whistleblower released a report citing twenty-four iOS applications which “covertly collect precise location histories from tens of millions of mobile devices” while providing ...
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Why Transparent Research Pricing Remains Elusive

09/10/2018
This is an update of an article originally published in October 2017.  Our latest research pricing survey is currently in the field [if you are a research provider and have ...
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The Revenge of the Investment Banks, Revisited (Conclusion)

09/07/2018
This is the third and final installment of a three-part series reexamining our thesis that unbundling of research payments and execution would unleash powerful competitive forces in the investment research ...
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The Revenge of the Investment Banks, Revisited (Part 2)

09/06/2018
This is the second of a three-part series reexamining our thesis that unbundling of research payments and execution would unleash powerful competitive forces in the investment research marketplace.  The first ...
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The Revenge of the Investment Banks, Revisited (Part 1)

09/05/2018
This is the first of a three-part series reexamining our thesis that unbundling of research payments and execution would unleash powerful competitive forces in the investment research marketplace. Three years ...
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Geolocation Data Becomes Privacy Hot Button

09/04/2018
Increased media attention to privacy violations associated with geolocation data attracted the attention of US legislators, resulting in some wireless carriers terminating relationships with geolocation data aggregators.  Although no new ...
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Goldman Sachs Adds Senior Biotech Analyst

08/30/2018
Global investment bank, Goldman Sachs, has recently added Executive Director and senior equity research analyst Graig Suvannavejh, Ph.D. to cover the European biotechnology sector, located in the bank’s London office. ...
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Research Funding Update: Two US Asset Managers Reimburse Research Costs

08/28/2018
MFS released regulatory filings that clarified it is reimbursing research costs globally and we added US boutique Sands Capital Management which instituted a policy of reimbursing soft dollar costs in ...
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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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