Browsing: Regulatory


FCA Censures Axiom Equity Research

The UK Financial Conduct Authority issued a warning against Axiom Equity Research, stating that the firm was not authorized to offer its services in the UK.  As a result, the ...

Singapore Grants $55 Million To Foster Equity Research

Singapore allocated S$75 million (US$55.4 million) to incentivize new equity research initiatives and groom analysts covering small- and mid-cap companies.  The new measures counteract MiFID II’s effect of reducing research ...

Why Research Budgets are Like Comparing Apples and Oranges

One question many asset managers have been asking in recent months is how large should their research budgets be in today’s post MiFID II environment?  While the answer to this ...

The Corporate Access Conundrum

The following is a guest article by Chris Newson, founder of CN Business Consulting Ltd and most recently a Director at Citigroup where he was responsible for research revenue management ...

Mifid – Keep Calm and Carry On

The following is a guest article by Edward Blad, Founder and Managing Director of the Independent Research Forum, a London-based sales and marketing channel for independent research. Mifid has been casting ...
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Research Funding Update: Capital Group Eats Research Costs

Capital Group, a global asset manager with nearly $2 trillion in assets under management, implemented a policy as of January 1, 2019 of paying for all external research with its ...

SEC Invites Comments on MiFID II Research Unbundling

The US Securities and Exchange Commission opened a comment period for broker-dealers, investment advisers, issuers and other market participants to submit data and other information regarding the impact of MiFID ...

Survey: FICC Research Takes a MiFID II Hit

Nearly 70% of European asset managers have cut back their use of fixed income, currencies and commodities (FICC) research in the wake of MiFID II, according to a survey by ...

MiFID II Isn’t Working as Intended and Investors are Losing as a Result

The following is a guest article authored by Scott Davis and Carter Copeland, founding partners of Melius Research, a  boutique research firm focused on the industrials sector launched in October ...

Thasos Response to Apple Terms of Service Change

In response to Apple changing its Terms of Service, geolocation data provider Thasos Group decided to make the difficult decision to completely eliminate the use of iOS data in their ...
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