Browsing: Regulatory

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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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MiFID II Research Unbundling Rules Face Uneven Enforcement

11/07/2017
Outside of the UK -- the epicenter of research procurement reforms -- it is unclear how consistently the rules will be enforced as even European regulators are struggling to implement ...
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Research Fees Update: How Predatory Is Bank Pricing?

11/02/2017
It is not clear that investment banks’ pricing for previously bundled research would meet regulatory tests for unfair pricing, despite rapidly falling price quotes in the run-up to MiFID II ...
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Integrity Research Releases MiFID II Research Unbundling Overview

11/01/2017
Integrity Research released a detailed review of MiFID II’s research unbundling provisions and their impact on investment research including how research pricing is being transformed. One of the most controversial elements ...
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MiFID II Survey Finds Asset Owner Ambivalence To Research Unbundling

10/31/2017
A recent survey of European asset owners suggests that research unbundling is not a hot button issue for asset owners, who remain equivocal about its impact.  Nevertheless, asset owners said ...
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SEC Provides MiFID II Relief — Somewhat

10/27/2017
The U.S. Securities and Exchange Commission issued three no-action letters intended to facilitate the ability of US brokers and asset managers to comply with the research requirements of MiFID II ...
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Will Research Unbundling Prove To Be A “Mifxit”?

10/25/2017
The following is a guest article written by Fabrice Bouland, CEO and co-founder of Paris-based research portal Alphametry. Research unbundling is nearly upon us. The intense debate around its emergence ...
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Cowen: US Regulators Opposed to Implementing MiFID II Research Payment Reforms

10/24/2017
A recent note from Cowen Washington Research Group expects the US Securities and Exchange Commission to issue by early December no-action relief from regulations restricting the acceptance by US banks ...
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Why I Left the Bulge Bracket Behind

10/23/2017
The following is a guest article by Dan Sanders, who joined Olivetree Financial last month as Head of US Execution Services after a sixteen-year bulge bracket career, most recently as ...
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Why Transparent Research Pricing Will Remain Elusive

10/20/2017
One of the regulatory goals for the research inducement provisions of MiFID II is to create more price transparency for investment research.  However, flaws in the way the rules were ...
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