Browsing: Compliance

Premium Exclusive

Blueshift Research and Intro-act Merge

Blueshift Research, LLC, an established Boston-based independent research firm recently announced a merger with Intro-act, LLC, a FinTech firm focused on providing corporate access solutions to issuers and institutional investors. ...

Brokers Find New Corporate Access Loophole Under MiFID II

Several UK brokers have indicated that they are restructuring their corporate access services as 'issuer-paid' so that the services can be offered free of charge under MiFID II, according to ...
Premium Exclusive

Blackrock’s In No Hurry To See Global MiFID II Standards

In Blackrock’s most recent earnings call, CEO Larry Fink equivocated on whether Blackrock would adopt a global policy of paying for research from its P&L, signaling concerns about the unintended ...

UK Regulators Consider Enforcement Action Against Commission Abuses

The parent of JO Hambro Capital Management (JOHCM), a UK asset manager with £29 billion ($38 billion) AUM, revealed that the UK Financial Conduct Authority (FCA) is investigating the unit ...

UK Regulators Continue To Stir the Unbundling Pot

The UK Financial Conduct Authority continues to excite its financial markets constituents with interpretations of MiFID II’s research unbundling rules as the deadline looms just a few weeks away. At ...

Issues with the SEC No Action Letter Response to SIFMA

One of the SEC’s MiFID II No-Action letters issued a few weeks ago have prompted asset managers to question whether they now have greater flexibility to pay for US sell-side ...
Premium Exclusive Finalizes Standards For Interactions Data For MiFID II

11/09/2017, an industry association focused on electronic research distribution, released final standards for capturing research-related interactions between the sell-side and buy-side, as a result of new MiFID II regulations requiring more ...
Premium Exclusive

MiFID II Research Unbundling Rules Face Uneven Enforcement

Outside of the UK -- the epicenter of research procurement reforms -- it is unclear how consistently the rules will be enforced as even European regulators are struggling to implement ...
Premium Exclusive

Research Fees Update: How Predatory Is Bank Pricing?

It is not clear that investment banks’ pricing for previously bundled research would meet regulatory tests for unfair pricing, despite rapidly falling price quotes in the run-up to MiFID II ...

Integrity Research Releases MiFID II Research Unbundling Overview

Integrity Research released a detailed review of MiFID II’s research unbundling provisions and their impact on investment research including how research pricing is being transformed. One of the most controversial elements ...
1 4 5 6 7 8 61