Browsing: Compliance

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ONEaccess Adds MiFID II Budgeting & E-mail Tracking

10/12/2017
Visible Alpha recently announced that it has added research budgeting and e-mail tracking capabilities to its ONEaccess platform to aid asset manager clients in meeting the research inducement rules associated ...
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Death, Taxes and MiFID II (Update)

10/12/2017
UK tax authorities created false hopes that the current exemption of research from taxation might be extended despite MiFID II’s unbundling of research payments from execution, only to dash those ...
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UBS Report Predicts Tepid Impacts From MiFID II

10/09/2017
Despite an attention-grabbing title “MiFID II's domino effect: Headwinds likely to impact markets beyond Europe and to last years,” a report authored by UBS analysts covering asset managers and banks ...
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White Paper Predicts UK Research Market Will Halve Post-MiFID II

10/05/2017
A UK corporate access consultancy, Capital Access Group, released a white paper arguing that the research spending in the UK will fall 55% in the next twelve months and that ...
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Research Funding Update: Fidelity International Bucks Funding Trend While MFS Is First US Asset Manager To Eat Research Costs Globally

10/04/2017
This week brought three novel developments relating to the research funding dilemma facing European asset managers.  Fidelity International went against the prevailing tide, deciding to fund research payments alongside commissions ...
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US Trade Associations Take Multiple Paths To Ease MiFID II Challenges

10/03/2017
This is the second article of a two part series examining US regulatory initiatives to mitigate conflicts between pending MiFID II research unbundling rules and US regulation.  The first article ...
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New Opposition To MiFID II Relief Complicates Efforts By US Regulators

10/02/2017
This the first of a two part series examining US regulatory initiatives to mitigate conflicts between pending MiFID II rules unbundling research payments from execution and US regulation. Although there ...

Biotech Analyst Charged with Insider Trading

10/02/2017
A former Zacks biotech analyst and two employees of Chicago–based brokerage firm, LBMZ Securities, were recently charged with insider trading for alleged activity taken by the three between 2012 and ...
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European Independents Fear Unbundling Effects

09/29/2017
Independent research firms in Europe have deep reservations about MiFID II’s new research inducement rules, according to a survey by trade association Euro IRP. Euro IRP said that its members ...
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Research Funding Update: Four More European Managers Eat Research Costs

09/26/2017
Four additional asset managers announced their decisions to pay for research from their resources, the largest being HSBC Asset Management.  Meanwhile Fidelity International continued to temporize and global asset managers ...
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