Browsing: Compliance

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Australian Authorities Implement Tougher Research Regulations

12/26/2017
The Australian Securities & Investment Commission (ASIC), the country’s financial markets regulator, released new rules governing conflicts and inside information pertaining to sell-side research, largely modeled on US regulation adopted ...
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Extel Survey Shows Discrepancies in Perceptions of Research Value

12/22/2017
A recent Extel survey showed the buy-side placing more value on written research and less on high touch services than the sell-side.  The survey reflects Extel’s new business model of ...
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European Exchanges Add Issuer-Paid Research

12/21/2017
Anticipating a decline in small-cap research coverage in the wake of MiFID II’s unbundling provisions, Deutsche Börse and Borsa Italiana are promoting issuer-paid research for listed companies. Germany & Italy ...
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Research Accounting Will Be Best Practice Irrespective of How Payments Are Funded

12/20/2017
The following is a guest article from Amrish Ganatra, Managing Director of Commcise Software Limited, a London-based provider of commission management software.  Research accounting – mapping research costs and usage to ...
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US Asset Manager Unequivocally Adopts Global Policy Absorbing Research Costs

12/15/2017
First Eagle Investment Management, a US-based asset manager not directly subject to MiFID II, said it will fund all external research costs from its P&L effective January 3, 2018.  First ...
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Research Fees Update: Pricing Negotiations Will Not Be Finalized By MiFID II Deadline

12/13/2017
European fee negotiations for research continue apace but it is increasingly clear that most European asset managers will not have research fees locked in by January 3rd. Larger asset managers ...
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Research Funding Update: Majority of European Managers Fund From P&L While Assets Tell Different Tale

12/12/2017
The majority of long-only European asset managers plan to eat research costs but small UK managers continue to defy the trend by explicitly charging clients for research, demonstrating the extreme ...
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Shrinking Cash Equities & MiFID II Prompt Transformation at CLSA

12/07/2017
Hong Kong based investment bank, CLSA Ltd., is in the process of transforming its traditional institutional research and brokerage business as a result of a huge shrinkage in the institutional ...
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Optimism, Pessimism and MIFID II: How Unbundling Will Reduce Research Skepticism

12/06/2017
Research unbundling under MiFID II will accentuate a broader media trend toward increased vulnerability to PR manipulation and fake news stories, according to recent thought pieces by Jamie Davis, co-founder ...
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New Research Valuation Study Shows Divergence Between Fixed Income and Equity Managers

12/04/2017
Fixed income-oriented asset managers are reacting differently to the unbundling provisions under MiFID II than equity managers, according to a report released by Integrity Research Associates.  The findings are based ...
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