Browsing: Compliance


SEC Confirms they are Actively Seeking MiFID II Solutions

At an industry conference held last week, two SEC representatives acknowledged that the commission is actively looking for solutions to enable asset managers to pay for US broker research once ...

America’s Response to MiFID II’s Research Regulations

The following is a guest article by Mike Carrodus, founder of Substantive Research, a research curation and benchmarking service, which will be hosting a conference on the implications of MiFID II ...

Study: MiFID II Saps European Fund Performance

US-based funds, largely exempt from MiFID II’s onerous unbundling regulation, outperformed equivalent European-based funds as MiFID II has gone into effect, according to a study by Evercore ISI and Frost ...

Ex-S&P Analyst Found Guilty of Insider Trading

Recently, a Manhattan federal jury took a little over two hours to find former Standard & Poor’s credit analyst, Sebastian Pinto-Thomaz, guilty of illegally tipping two friends about the $9.3 ...

Research Payments Sag in Europe and UK, According to Integrity Research Pricing Benchmark Study

Average European research payments lagged North American research payments by over 40%, according to data from Integrity Research’s fourth major benchmark study of research pricing.   The survey results indicate ...
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Research Spending Update: 2018 Research Outlays Track Close to Budget

With the exception of DWS, which seems to have overshot its research budget by almost a third, most European asset managers which had previously disclosed research budgets for 2018 ended ...
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Research Funding Update: US Stalemate

US regulators are pouring cold water on broadening the ability for US asset managers to pay cash for US broker research, bringing US moves to absorb research costs to a ...

Social Media Risks Increasing for Research Firms

The following is a guest article by Susan Mathews, Principal  & Founder of Madigail Consulting, LLC a securities compliance consultant providing research and ethics compliance, training and external CCO services ...
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SEC: Read My Lips, No MiFID II Harmonization

For slow learners who had trouble deciphering the message delivered last week by the head of the SEC’s Division of Investment Management (yes, you SIFMA), SEC Chairman Jay Clayton said ...

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

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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