Browsing: Regulatory

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UK Regulators Will Re-Bundle Small Cap and Independent Research

04/30/2021
The UK Financial Conduct Authority (FCA) proposes to go further than its European counterpart in unwinding MiFID II’s unbundling provisions as it adjusts to new Brexit realities.  Although the scope ...
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New Data Privacy Regulation May Spur Congress to Act

04/27/2021
State-level data privacy regulation continues to proliferate as California expanded its existing regulation and Virginia enacted new laws.  Federal-level legislation remains hostage to partisan differences but increasing involvement from states ...
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Europe Must Revise MiFID II to Achieve ESG Ambitions

04/12/2021
The following is a guest article by Neil Scarth, Principal of Frost Consulting (http://www.frostconsulting.co.uk/) which provides customizable research budgeting/valuation frameworks and research spending databases.  MiFID II poses an existential threat to ...
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AT&T Accused of Violating Regulation Fair Disclosure

03/23/2021
When Securities and Exchange Commission charged AT&T with violating Regulation Fair Disclosure, it singled out three investor relations executives rather than the CFO that directed them to be ‘working the ...
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Covid Accelerates Outsourcing Trend Across the Street

03/01/2021
The following article was written by Mr. Kuni Chen, CFA, a former sell-side equity research analyst and the Director of Research Advisory Practice at Compliance Risk Concepts. Today, many nonregistered firms ...
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Former SEC Staffer Joins Atheneum as CCO and General Counsel

01/28/2021
Berlin-based expert network, Atheneum Partners, recently announced the hiring of former SEC Senior Counsel and Wall Street compliance attorney, Susan Mathews as General Counsel and Chief Compliance Officer. Atheneum’s Recent ...
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2020 Regulatory Review: Hiatus in Privacy Legislation but Greater Scrutiny of Alternative Data

01/05/2021
The US Congress came close to passing federal data privacy legislation while members prompted an investigation of transaction provider Yodlee Envestnet for privacy violations.  US regulators began inspecting alternative data ...
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SEC Concerns about Alternative Data Risks

12/22/2020
In recent weeks a few law firms and trade associations have been discussing the various concerns the SEC has expressed about asset managers’ use of alternative data – including MNPI, ...
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European Regulators Call for Regulation of ESG Data

12/21/2020
French and Dutch regulators proposed new regulations to improve the transparency of how ESG data is collected and ESG ratings are calculated.  The move follows consolidation in the industry, with ...
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Europe Re-bundles Small and Mid-Cap Research

11/27/2020
The European Parliament passed legislation allowing investment firms to pay for small and mid-cap research using client commissions, as part of a larger Covid-19 relief package.  The move further isolates ...
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