Browsing: Regulatory

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Asset Managers Give Thumbs Down to MiFID II: Higher Costs, Less External Research & Small Firms Squeezed

11/21/2017
A survey of European asset managers conducted by the CFA Institute showed investment managers preparing for significant cuts to their profitability and declines in the sell-side research they receive. The ...
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Credit Suisse Adds Two Media Analysts from UBS

11/20/2017
Earlier this month, Credit Suisse announced that it had hired two senior analysts -- Douglas Mitchelson and Brian Russo -- from rival UBS to cover the Media, Cable/Satellite and Telecommunications ...
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Deloitte Highlights Growing Alternative Data Risks

11/20/2017
Deloitte recently released a white paper which outlined risks associated with alternative data.   As risks increase and the industry comes under increasing media and regulatory scrutiny, it will be important ...
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Blueshift Research and Intro-act Merge

11/17/2017
Blueshift Research, LLC, an established Boston-based independent research firm recently announced a merger with Intro-act, LLC, a FinTech firm focused on providing corporate access solutions to issuers and institutional investors. ...
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Brokers Find New Corporate Access Loophole Under MiFID II

11/16/2017
Several UK brokers have indicated that they are restructuring their corporate access services as 'issuer-paid' so that the services can be offered free of charge under MiFID II, according to ...
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Blackrock’s In No Hurry To See Global MiFID II Standards

11/15/2017
In Blackrock’s most recent earnings call, CEO Larry Fink equivocated on whether Blackrock would adopt a global policy of paying for research from its P&L, signaling concerns about the unintended ...
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UK Regulators Consider Enforcement Action Against Commission Abuses

11/14/2017
The parent of JO Hambro Capital Management (JOHCM), a UK asset manager with £29 billion ($38 billion) AUM, revealed that the UK Financial Conduct Authority (FCA) is investigating the unit ...
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UK Regulators Continue To Stir the Unbundling Pot

11/13/2017
The UK Financial Conduct Authority continues to excite its financial markets constituents with interpretations of MiFID II’s research unbundling rules as the deadline looms just a few weeks away. At ...
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Issues with the SEC No Action Letter Response to SIFMA

11/13/2017
One of the SEC’s MiFID II No-Action letters issued a few weeks ago have prompted asset managers to question whether they now have greater flexibility to pay for US sell-side ...
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RIXML.org Finalizes Standards For Interactions Data For MiFID II

11/09/2017
RIXML.org, an industry association focused on electronic research distribution, released final standards for capturing research-related interactions between the sell-side and buy-side, as a result of new MiFID II regulations requiring more ...
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