Browsing: Exclusives

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RIXML.org Turns Attention to ESG Data

02/18/2020
Reflecting surging interest in ESG analysis, RIXML.org, an industry association focused on electronic research distribution, has formed a working group to explore whether to create a taxonomy for environmental, social, ...
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Expert Networks Continue to Present Compliance Challenges

02/17/2020
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 CCO services ...
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Visible Alpha Promotes Mark Hale to CEO

02/13/2020
Visible Alpha, the New York-based research technology firm founded by a consortium of sell-side investment banks, just announced the appointment of Mark Hale as Chief Executive Officer.  Mr. Hale succeeds ...
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US IPO Activity Starts off Steady in 2020

02/12/2020
US IPO activity started off the year steady in January 2020 as 9 deals were priced during the month, 13% higher than the number of new deals priced in December.  ...
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No Worries as Evercore ISI Revenues Slide

02/11/2020
Evercore ISI revenues continued their decline through 2019 yet Evercore management professed comfort in belief that its research was gaining share.  Evercore announced a 6% reduction in staff but insisted ...
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Alternative Data, It’s Not Just For Hedge Funds Any More

02/10/2020
The following is a guest article by Jeff West, the founder of StreetFeeds, a leading provider of product development, licensing, and distribution services to the financial market data industry (www.streetfeeds.com).  ...
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France Proposes Sweeping Reform to MiFID II Unbundling

02/04/2020
A report sponsored by French regulators recommended extensive revisions to MiFID II’s research inducement rules.  Unlike a MiFID II review conducted UK regulators which supported the status quo, French opposition ...
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Buy-Side Spending on Research Expected to Continue Falling in 2020

01/30/2020
According to Integrity Research’s annual research industry outlook, spending by global asset managers on sell-side and independent research is expected to fall 5.5% in 2020 – marking the third consecutive ...
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Despite Solid Q4 Equities Revenues, US Bulge Firms Get Jitters About 2020

01/28/2020
For the final quarter of 2019, equities revenues of the largest US banks slid 8% sequentially yet remained slightly above 2018 results.  The respectable quarterly results contributed to a strong ...
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Can Asset Managers Not Subject to MiFID II Use Cash to Pay for US Research?

01/27/2020
On November 4, 2019, the SEC extended its “no-action” relief permitting US broker-dealers to accept cash payments for its research from asset managers who are subject to MiFID II until ...
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