Browsing: Compliance
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CSA vs RPA & P&L: Why CSAs Are the More Practical Research Funding Choice
09/08/2026
The following guest article was written by John McGough, Jr., a member of the Global Business Development team at financial technology provider Castine, LLC. John has spent over 25 years ...
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Google Wins $10 Million Auction for Spirit Airlines Corporate Data
08/25/2026
Google recently won the August 14 bankruptcy auction for Spirit Airlines' de-identified corporate data with a $10 million bid, beating a $7.5 million offer from Mercor.io Corporation, the designated backup ...
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California DROP: The Alternative Data Industry’s Quiet Crisis
08/10/2026
The following guest article was written by Daniel Goldberg, the founder of Alternative Data Advisors, LLC and a Senior Advisor and Data Strategist to a portfolio of data, analytics, and ...
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China Data Compliance – The Latest on Cross-Border Transfers and What It Means for Your Data Strategy
08/03/2026
The following guest article was submitted by Mikheil Shengelia, Research Analyst at Eagle Alpha, an alternative data aggregation platform providing supporting advisory services for data buyers and vendors.
On July 9th, ...
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Navigating the AI Era: The Convergence of Generative AI and Regulatory Realignment in Investment Research
07/13/2026
The following guest article was written by Brijesh Malkan, CEO of Singletrack. Singletrack is the only end-to-end, AI-first platform for capital market advisory, covering research authoring and distribution, sales & ...
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Kalshi’s Attempt Fails: Wall Street Needs Workable Compliance for Prediction Markets
06/15/2026
The following is a guest article by Susan Mathews, Principal & Founder of Madigail Consulting, LLC a securities compliance consultant providing research and ethics compliance, training and external GC and ...
Survey: The US vs EU Research Budget Divergence
05/04/2026
Substantive Research recently published findings from a survey of the 50 largest asset managers globally showing US investment research budgets have recovered 40 basis points since 2022, while European budgets ...
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Does AI Create Insider Trading Without Insiders?
02/11/2026
The following is a guest article written by Vinesh Jha, CEO of ExtractAlpha, an independent research firm dedicated to providing unique, actionable alpha signals to institutional investors. Vinesh has spent ...
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2025: A Transformative Year for ESG and Sustainability in the Global Investment Research Industry
12/31/2025
2025 marked a watershed moment for Environmental, Social, and Governance (ESG) factors and sustainability initiatives, profoundly influencing the global investment research industry. Amid escalating climate risks, geopolitical shifts, and heightened ...
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Outsourcing Oversight: SEC Expectations and the Role of Due Diligence Software
12/22/2025
The following guest article was written by John McGough, Jr., a member of the Global Business Development team at financial technology provider Castine, LLC. John has spent over 25 years ...