Browsing: Compliance

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Research Fees Update: Pricing Negotiations Will Not Be Finalized By MiFID II Deadline

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

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 ...

Shrinking Cash Equities & MiFID II Prompt Transformation at CLSA

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

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 ...

New Research Valuation Study Shows Divergence Between Fixed Income and Equity Managers

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 ...

MiFID II Pushback: Skepticism Outside Europe Over New Unbundling Rules

Euro-skepticism is not confined to the UK as US and Australian players express doubts about MiFID II’s new research rules.  Many of the concerns centered on the impact on small ...

Second Round of Landmark Web Crawling Case Focuses on Privacy Law

LinkedIn is asking the 9th Circuit Court of Appeals to vacate a district court judge's order preventing it from blocking HiQ Labs from accessing publicly available data on the site.  ...

UK Taxman Will Come For Research

Although the UK tax authority HM Revenue and Customs (HMRC) has not officially provided guidance, the UK’s fiscal watchdog has factored tax receipts from research into its budgetary forecasts released ...
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Research Funding Update: More European Managers Go P&L, More Non-European Managers Ring-Fence, While A Few Hardy Boutiques Charge Clients

The majority of long-only European asset managers are deciding to eat research costs but a couple of small UK managers are defying the trend by explicitly charging clients for research.  ...

Asset Managers Give Thumbs Down to MiFID II: Higher Costs, Less External Research & Small Firms Squeezed

A survey of European asset managers conducted by the CFA Institute showed investment managers preparing for significant cuts to their profitability and declines in the sell-side research they receive. The ...
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