Browsing: Regulatory

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Asset Managers Bet That Research Costs Not Important

09/06/2017
The following is a guest article by Neil Scarth, Principal of Frost Consulting which specializes in research procurement issues including research budgeting and valuation.  Managers planning to use client money for ...
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Fixed Income Manager Bluebay Will Pay For Research From P&L

09/01/2017
Bluebay Asset Management, a fixed income subsidiary of Royal Bank of Canada, expects to absorb investment research costs under MiFID II according to a terse notice from Reuters. Bluebay, with ...
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Another Top Sell-Side Analyst Departs for IR Role

08/31/2017
Recently, senior US Goldman Sachs technology analyst, Simona Jankowski, left the investment bank to take a senior investor relations position at technology hardware company, NVIDIA.  Ms. Jankowski is just one ...
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UK Manager JO Hambro Will Pay For Research From P&L

08/30/2017
JO Hambro Capital Management, a London-based fund manager with £29.2 billion ($37.5 billion) in assets under management, is the latest European asset manager to announce it will pay for research ...

New Ruling Makes It Easier for Feds to Win Insider Trading Cases

08/28/2017
Recently, the United States Court of Appeals for the Second Circuit upheld the insider trading conviction of a former SAC Capital portfolio manager, deciding that the criteria they had established ...
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Deerfield Management Settles SEC Charges for Failure to Maintain Insider Trading Policies

08/24/2017
New York based hedge fund, Deerfield Management, agreed to pay $4.8 mln to settle SEC charges that the firm had failed to follow its compliance policies regarding insider trading. SEC ...
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Swiss Asset Manager Unigestion Will Pay For Research From P&L

08/24/2017
Geneva-based asset manager Unigestion, with $23.9 billion in assets under management, issued a press release announcing it will pay for research from its own resources under MiFID II effective January ...
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Société Générale Punished For Research Infractions

08/22/2017
Société Générale, a bank with one of the top ten global equities franchises, was recently fined €450,000 ($529,000) by French regulators for compliance breaches in the production of its equity ...
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T. Rowe Price Ring Fences MiFID II Research Payments

08/22/2017
T. Rowe Price International Ltd., the UK subsidiary of T. Rowe Price, announced it will absorb the cost of external investment research it purchases when MiFID II research inducement rules ...
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Research Fees Update: Basic Level Subscription Fees Range from $4,000 to $11,700 Per User

08/18/2017
More details on research pricing have emerged and we are starting to get a fix on the subscription fees being charged for basic level access to written equity research where ...
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