Browsing: Regulatory

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US Privacy Laws Gain Momentum

07/23/2019
This is the first article of a two-part series reviewing pending US regulation of personally identifiable information which impacts the collection and dissemination of alternative data.  In this article, we ...
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SEC to Kick MiFID II Can Further Down the Road

07/22/2019
The US Securities and Exchange Commission is reportedly considering extending its current ‘no action’ relief for cash payments to US brokers as investment banks have intensified their lobbying. The Security ...

RIXML.org Releases Version 2.0 of Interactions Standard for Comment Period

07/22/2019
Last Friday, RIXML.org, an industry association focused on electronic research distribution, released version 2.0 of its standards for capturing research-related interactions between the sell-side, buy-side, and vendor community.  These open standards ...
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US Congress Proposes MiFID II Study

07/15/2019
If the US Securities and Exchange Commission had any inclination to harmonize its rules with MiFID II, pending US legislation would preempt it.  A new law which passed the US ...
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Geolocation Data Firm Cuebiq Launches New Privacy Compliance Solution

07/05/2019
As privacy regulations increasingly tighten, alternative data firm Cuebiq which specializes in geolocation data introduced a blockchain driven capability which verifies consumer consent to data collection.  Although mainly targeted to ...
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What the FCA Got Right

07/01/2019
The following is a guest article from Robin Hodgkins, President of Castine LLC, a provider of commission management software and research procurement solutions. Substantive Research, a UK-based independent research provider, recently ...
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Research Unbundling Conference a Resounding Success

06/17/2019
Last Wednesday, over 400 delegates from the sell-side, buy-side, IRPs, alternative data providers, and regulators attended UK research firm Substantive Research’s second annual New York conference called Unbundling Uncovered USA.  ...
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SEC Points Towards Market Solutions in the US to Resolve MIFID II Conflict

06/05/2019
The following is a guest article from Amrish Ganatra, CEO of Commcise Software Limited, a provider of commission management and research evaluation software which recently received a majority investment from ...

House Bill Looks to Expand Insider Trading Liability

05/27/2019
In the past, there has been no law in the US establishing what makes up insider trading.  However, that all may change as the House Financial Services Committee recently passed ...
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TIAA Joins Ranks of US Managers Paying for Research from P&L

05/23/2019
According to a recent article, US asset manager TIAA has joined the ranks of less than ten US asset managers that have started paying for third-party research from their P&Ls, ...
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