Browsing: ResearchWatch


Despite Innovation, Sell Side Still Dominates Corporate Access

The following is a guest article from Caspar Luard, who heads sales and marketing for MeetMax. The last 10-15 years have seen radical changes how the sell side interacts with the ...

Hacker Pleads Guilty to Insider Trading on Stolen Press Releases

Last week a Georgia-based real estate developer plead guilty for participating in the first ever criminal insider trading scheme involving hacked information.  US authorities accuse the defendant for his involvement ...

US Equity Analysts Upbeat about Research Industry

The following is a guest commentary from John Gallagher, Managing Director at Ludwig Wessel & Associates, an executive search firm specializing in the financial services industry, and is based on ...

Summary of Latest MiFID II Research Payment Rules

The following summary of the research rules contained in the latest MiFID II draft is provided by Nicholas Dray, Manager of Independent Research & Commission Management at Marex Spectron, a ...

Mitsubishi UFJ launches US equity research

Recently, Mitsubishi UFJ Securities started publishing equity research on US stocks for the first time with a focus on the energy, real estate investment trust, and technology sectors.  The firm’s ...

Bloomberg Sponsoring Roundtable on MiFID & Independent Research

Bloomberg is sponsoring a seminar in London focusing on how new unbundling regulation will impact the independent research industry. Mifid II: Spotlight on Independent Research will be held in Bloomberg’s London ...

8 Tips to Win Over Information Sources (Part 1 of 2)

This post’s title purposely has some resemblance to the title of Dale Carnegie’s famous book, How to Win Friends and Influence People, which has sold 15 million copies since being written ...

Broker Vote Poised For Change

The following is a guest article from Caspar Luard, who heads sales and marketing for MeetMax and EasyBrokerVote. I provide these comments as a long-time observer of the broker voting process. ...

Research Increasingly Reliant on Investment Banking

Equity research is increasingly being subsidized by investment banking and wealth management, as commissions flows have been shrinking since the financial crisis. Data compiled by Coalition cited in a Financial Times ...

SEC Drops Insider Trading Case Against Ex-SAC Portfolio Manager

Last week the US Securities and Exchange Commission dropped its insider trading case against former SAC Capital portfolio manager Michael Steinberg following the Supreme Court’s refusal to hear the controversial ...
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