Browsing: Regulatory


Court Rebuffs LinkedIn’s Plea to Review Ruling Favoring Web Scraping

In a closely followed case affecting the legality of web scraping, the Ninth Circuit Court of Appeals rejected LinkedIn’s request for a review of its decision allowing continued web scraping ...

Goldman Focuses More on Equity Research

Despite MiFID II, some news suggests that bulge bracket investment bank Goldman Sachs is planning to increase its focus on single stock research.  However, other data reveals less commitment to ...

Sell-Side Innovation & Differentiation of the Research Product

Last week, following a number of meetings in New York and London, we identified a number of ways that various investment banks are enhancing and differentiating their research products in ...

LinkedIn Requests Review of Ruling Favoring Web Scraping

LinkedIn is seeking to reopen a landmark case affecting the legality of web scraping after losing its appeal.  The move fuels concerns that the ruling favoring the scraping of public ...

SEC Kicks MiFID II Can Further Down the Road

As expected, the US Securities and Exchange Commission extended its ‘no action’ relief, allowing asset managers subject to MiFID II to make cash payments to US brokers for an additional ...

MiFID II Impacts Research Coverage and Quality

According to a recent survey conducted by UK-based consulting firm, Citigate Dewe Rogerson, over 52% of the UK investor relations professionals surveyed reported a decline in sell-side analyst coverage while ...

Former Credit Suisse Equity Research Head Joins Redburn

UK-based independent research firm, Redburn, recently added Steve East, the former head of EMEA equity research at Credit Suisse.  Mr. East joins Redburn as head of sector research and will ...
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California Requires Data Brokers to Register

The California legislature passed a law requiring firms that aggregate and sell data collected from individuals to register with, and provide certain information to, the state’s Attorney General.  The broadly ...

FCA’s MiFID II Review Shows 20% to 30% Research Budget Reductions

The UK’s Financial Conduct Authority recently released its eagerly awaited review on MiFID II.  The report revealed a number of findings, including that asset managers have reduced their research spending ...

Baird Fined $150,000 in Research Conflict of Interest Settlement

Milwaukee-based regional investment bank, Robert W. Baird, was recently fined $150,000 by FINRA for a 2013 incident where the bank allegedly failed to disclose a conflict of interest by one ...
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