Browsing: Compliance

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MiFID II Survey Finds Asset Owner Ambivalence To Research Unbundling

10/31/2017
A recent survey of European asset owners suggests that research unbundling is not a hot button issue for asset owners, who remain equivocal about its impact.  Nevertheless, asset owners said ...
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SEC Provides MiFID II Relief — Somewhat

10/27/2017
The U.S. Securities and Exchange Commission issued three no-action letters intended to facilitate the ability of US brokers and asset managers to comply with the research requirements of MiFID II ...
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Will Research Unbundling Prove To Be A “Mifxit”?

10/25/2017
The following is a guest article written by Fabrice Bouland, CEO and co-founder of Paris-based research portal Alphametry. Research unbundling is nearly upon us. The intense debate around its emergence ...
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Cowen: US Regulators Opposed to Implementing MiFID II Research Payment Reforms

10/24/2017
A recent note from Cowen Washington Research Group expects the US Securities and Exchange Commission to issue by early December no-action relief from regulations restricting the acceptance by US banks ...
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Why I Left the Bulge Bracket Behind

10/23/2017
The following is a guest article by Dan Sanders, who joined Olivetree Financial last month as Head of US Execution Services after a sixteen-year bulge bracket career, most recently as ...
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Why Transparent Research Pricing Will Remain Elusive

10/20/2017
One of the regulatory goals for the research inducement provisions of MiFID II is to create more price transparency for investment research.  However, flaws in the way the rules were ...
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Research Fees Update: More Firms Give Away FICC Research

10/18/2017
This is the second of a two-part update on research pricing, covering fees for fixed income, currencies and commodities research.  The previous installment discussed equity research pricing. More banks are ...
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Caution: Shifting Research Costs To P&L Does Not Eliminate Inducement Risk

10/18/2017
The following is a guest article from John McGough, Global Head of Business Development of Castine LLC, a provider of research procurement solutions including P&L Centre. Recently, a fair number of ...
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Research Fees Update: Pessimism Dampens Equity Research Pricing

10/17/2017
This is the first of a two-part update on research pricing, covering equity research fees.  The next installment will discuss pricing for fixed income, currencies and commodities research. The basic ...
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Research Funding Update: Man Group and Legal & General Switch While MFS Waffles

10/13/2017
Fidelity International's decision to pass on research costs had no impact as hedge fund manager Man Group and Legal and General Investment Management both changed their policies from charging clients ...
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