Browsing: Compliance

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Why Can’t U.S. Sell-Side Research Departments Become RIAs?

06/14/2018
In the wake of MiFID II, many financial market participants continue to argue how US investment banks can accept cash payments from asset managers for their research and not violate ...
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The US Will Not Follow MiFID II Unbundling

06/13/2018
The central discussion at yesterday’s well-attended Unbundling Uncovered USA conference organized by Substantive Research was when the rigorous new requirements governing the purchase of investment research might be cascading to ...
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Asset Managers Sour On MiFID II Unbundling

06/13/2018
European portfolio managers and analysts have a negative view of MiFID II research unbundling, which is largely shared by asset managers outside Europe, according to a new survey by research ...
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Commission Rate Declines Owe More To Technology Than Regulation

06/05/2018
The Financial Times article blared “Banks and brokers suffer ‘dramatic’ fall in commissions” crediting MiFID II with saving money for asset owners, but the reality is more nuanced.  Our analysis ...
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Assessing MiFID II’s Impact in the US

06/04/2018
The following is a guest article by Mike Carrodus, founder of Substantive Research, a curator of daily macroeconomic research from sell-side brokers and independents, which will be hosting a conference ...
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Thomson Reuters Adds Providers to its Investment Research Marketplace

05/24/2018
New York-based market data vendor Thomson Reuters recently announced that addition of three new research providers to the Investment Research Marketplace (IRM) on its Eikon platform to help asset managers ...
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New Alternative Data Standard-Setting Body Publishes Privacy Best Practices

05/17/2018
The Investment Data Standards Organization (IDSO), a non-profit comprised of producers, distributors and users of alternative data, has publicly released a set of best practices for datasets which include personally ...

Hedge Fund Settles Washington DC Insider Trading Case

05/14/2018
Last week hedge fund, Visium Asset Management agreed to pay more than $10 million to settle SEC insider trading charges that it had traded drug company stocks based on inside ...
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Notes from London: The Impact of MiFID II Is Concerning

05/03/2018
Following a trip to London last week, the feedback we received from all market participants was that MiFID II was likely to have a larger than expected impact on the ...
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Political Intelligence Consultant on Trial for Providing Insider Tips

04/23/2018
Over the past few weeks, David Blaszczak, a former U.S. government employee who has developed a reputation for providing “political intelligence” to hedge funds has been on trial for passing ...
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