Browsing: Regulatory

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Research Funding Update: Fidelity International Bucks Funding Trend While MFS Is First US Asset Manager To Eat Research Costs Globally

This week brought three novel developments relating to the research funding dilemma facing European asset managers.  Fidelity International went against the prevailing tide, deciding to fund research payments alongside commissions ...
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US Trade Associations Take Multiple Paths To Ease MiFID II Challenges

This is the second article of a two part series examining US regulatory initiatives to mitigate conflicts between pending MiFID II research unbundling rules and US regulation.  The first article ...
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New Opposition To MiFID II Relief Complicates Efforts By US Regulators

This the first of a two part series examining US regulatory initiatives to mitigate conflicts between pending MiFID II rules unbundling research payments from execution and US regulation. Although there ...

Biotech Analyst Charged with Insider Trading

A former Zacks biotech analyst and two employees of Chicago–based brokerage firm, LBMZ Securities, were recently charged with insider trading for alleged activity taken by the three between 2012 and ...

European Independents Fear Unbundling Effects

Independent research firms in Europe have deep reservations about MiFID II’s new research inducement rules, according to a survey by trade association Euro IRP. Euro IRP said that its members ...

Research Funding Update: Four More European Managers Eat Research Costs

Four additional asset managers announced their decisions to pay for research from their resources, the largest being HSBC Asset Management.  Meanwhile Fidelity International continued to temporize and global asset managers ...

The Great MiFID II Reshuffle: What is “Quality” Research and How to Produce More of It Despite the Squeeze on Budgets?

The following is a guest article by Jack Kokko, Founder and CEO of AlphaSense, creators of an AI-powered search engine. With the effective date of MiFID II around the corner, ...
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Asset Managers Opt Out Of MiFID II Research Procurement Rules

One of the regulatory selling points of the new research inducement rules under MiFID II was that they would improve transparency around the purchase of third party research.  However, the ...

Crédit Agricole CIB Slashes Fixed Income Research Fees Nearly 90%

Crédit Agricole Corporate and Investment Bank dramatically reduced the subscription cost of its Macro and FICC research from €170,000 ($200,000) to €20,000 ($24,000).  At the same time it simplified its ...

MiFID II and Research: What’s the Exchange Rate between a Soft and a Hard Dollar?

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.  So that’s it, game over. The past ...
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