Browsing: Regulatory


Caution: Shifting Research Costs To P&L Does Not Eliminate Inducement Risk

The following is a guest article from John McGough, Global Head of Business Development of Castine LLC, a provider of research procurement solutions including P&L Centre. Recently, a fair number of ...
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Research Fees Update: Pessimism Dampens Equity Research Pricing

This is the first of a two-part update on research pricing, covering equity research fees.  The next installment will discuss pricing for fixed income, currencies and commodities research. The basic ...
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Research Funding Update: Man Group and Legal & General Switch While MFS Waffles

Fidelity International's decision to pass on research costs had no impact as hedge fund manager Man Group and Legal and General Investment Management both changed their policies from charging clients ...

ONEaccess Adds MiFID II Budgeting & E-mail Tracking

Visible Alpha recently announced that it has added research budgeting and e-mail tracking capabilities to its ONEaccess platform to aid asset manager clients in meeting the research inducement rules associated ...
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Death, Taxes and MiFID II (Update)

UK tax authorities created false hopes that the current exemption of research from taxation might be extended despite MiFID II’s unbundling of research payments from execution, only to dash those ...
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UBS Report Predicts Tepid Impacts From MiFID II

Despite an attention-grabbing title “MiFID II's domino effect: Headwinds likely to impact markets beyond Europe and to last years,” a report authored by UBS analysts covering asset managers and banks ...

White Paper Predicts UK Research Market Will Halve Post-MiFID II

A UK corporate access consultancy, Capital Access Group, released a white paper arguing that the research spending in the UK will fall 55% in the next twelve months and that ...
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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 ...
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