Browsing: Regulatory


Asset Managers Sour On MiFID II Unbundling

European portfolio managers and analysts have a negative view of MiFID II research unbundling, which is largely shared by asset managers outside Europe, according to a new survey by research ...

Commission Rate Declines Owe More To Technology Than Regulation

The Financial Times article blared “Banks and brokers suffer ‘dramatic’ fall in commissions” crediting MiFID II with saving money for asset owners, but the reality is more nuanced.  Our analysis ...

Assessing MiFID II’s Impact in the US

The following is a guest article by Mike Carrodus, founder of Substantive Research, a curator of daily macroeconomic research from sell-side brokers and independents, which will be hosting a conference ...

Thomson Reuters Adds Providers to its Investment Research Marketplace

New York-based market data vendor Thomson Reuters recently announced that addition of three new research providers to the Investment Research Marketplace (IRM) on its Eikon platform to help asset managers ...

New Alternative Data Standard-Setting Body Publishes Privacy Best Practices

The Investment Data Standards Organization (IDSO), a non-profit comprised of producers, distributors and users of alternative data, has publicly released a set of best practices for datasets which include personally ...

Hedge Fund Settles Washington DC Insider Trading Case

Last week hedge fund, Visium Asset Management agreed to pay more than $10 million to settle SEC insider trading charges that it had traded drug company stocks based on inside ...
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Notes from London: The Impact of MiFID II Is Concerning

Following a trip to London last week, the feedback we received from all market participants was that MiFID II was likely to have a larger than expected impact on the ...

Political Intelligence Consultant on Trial for Providing Insider Tips

Over the past few weeks, David Blaszczak, a former U.S. government employee who has developed a reputation for providing “political intelligence” to hedge funds has been on trial for passing ...

European Boutiques Ask For Exemption From MiFID II Rules

Arguing that “the current market for research under MiFID II is not functioning effectively,” the trade organization representing European independent research providers is requesting that European regulators exclude independents from ...

Web Crawling Protected By First Amendment

A recent ruling by a Washington DC District Court argues that web crawling is protected by the First Amendment, in an extension of a recent US Supreme Court decision. The ...
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