Browsing: Regulatory

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The Revenge of the Investment Banks, Revisited (Part 1)

This is the first of a three-part series reexamining our thesis that unbundling of research payments and execution would unleash powerful competitive forces in the investment research marketplace. Three years ...

Geolocation Data Becomes Privacy Hot Button

Increased media attention to privacy violations associated with geolocation data attracted the attention of US legislators, resulting in some wireless carriers terminating relationships with geolocation data aggregators.  Although no new ...

Goldman Sachs Adds Senior Biotech Analyst

Global investment bank, Goldman Sachs, has recently added Executive Director and senior equity research analyst Graig Suvannavejh, Ph.D. to cover the European biotechnology sector, located in the bank’s London office. ...
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Research Funding Update: Two US Asset Managers Reimburse Research Costs

MFS released regulatory filings that clarified it is reimbursing research costs globally and we added US boutique Sands Capital Management which instituted a policy of reimbursing soft dollar costs in ...

European Independents Renew Call for Regulatory Intervention

In a second annual survey conducted by trade association Euro IRP, the majority of members agreed that regulators should respond urgently to ‘predatory pricing’ by investment banks.  Despite this, the ...

New Apple Policies Threaten Alternative Data

New Terms of Service required of developers marketing their products via the Apple App Store have introduced heightened legal risks to using data collected by iOS apps – an issue ...
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SEC Issues Warning on Best Execution and Soft Dollars

The SEC’s inspections unit issued a ‘Risk Alert’ summarizing the most common deficiencies pertaining to best execution and soft dollars that its staff has cited in the wake of investment ...
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Latest MiFID II Guidance Fails to Bring Relief to Independent Boutiques

Despite lobbying by independent boutiques, new guidance from European regulators ignored requests for exemptions from MiFID II strictures for research providers which do not have trading desks or offer investment ...

Canaccord Genuity Adds Three Analysts to UK Financials Team

Canadian investment bank, Canaccord Genuity, recently announced that it had added three experienced equity research analysts to its UK-based Financials research.  Management noted that MiFID II was part of the ...

Frost Consulting Collaborates With European Rating Agency to Evaluate Research Procurement

Frost Consulting, a London-based consulting firm focused on commission unbundling, has jointly launched with Berlin-based Scope Analysis a 'Research Process Rating' designed to reassure asset owners that research processes are ...
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