Browsing: Regulatory
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UK Regulators Consider Regulating ESG Data
06/24/2021
Concerns about ESG ratings are growing as UK regulators have requested comments on whether they should more formally regulate ESG data providers. The move follows calls from European regulators for ...
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Senate Republicans Oppose SEC Mandated ESG Disclosure
06/22/2021
On the final day of the US Securities and Exchange Commission’s comment period on climate change disclosure, the Republican members of the influential Senate Banking Committee sent a letter advising ...
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US Supreme Court Remands LinkedIn vs hiQ to Appeals Court
06/17/2021
Web harvesting concerns remain alive as the US Supreme Court (SCOTUS) vacated a lower court ruling favorable to web scraping, directing the lower court to reconsider the case in light ...
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New York’s Privacy Legislation Would Expand Restrictions
05/26/2021
A comprehensive data privacy bill passed out of committee in New York for the first time. If passed, it will significantly increase the obligations and liabilities associated with data derived ...
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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 ...