Browsing: Regulatory

Shining a Spotlight on the Client Commission Costs of CSA/Soft Dollar Aggregation Platforms across Asset Owners, Asset Managers, and CSA brokers

06/24/2024
The following guest article was written by Kevin Petrello, US Commercial Lead for Research Manager at S&P Global.   Kevin has extensive experience in the areas of CSA’s, research unbundling/evaluation, 28e ...

SEC Commissioner Pushes for Review of Current U.S. Research Analyst Rules

06/17/2024
Last week, speaking before the International Bar Association’s Asset Management Industry Conference on Global Challenges and Opportunities, SEC Commissioner, Mark Ueda discussed the history of U.S. regulations covering investment research.  ...
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The CFPB’s Proposed Rule on Open Banking and its Potential Impact on Alternative Data

06/03/2024
The following guest article was written by Mikheil Shengelia, Research Analyst at Eagle Alpha, an alternative data aggregation platform providing supporting advisory services for data buyers and vendors. Eagle Alpha hosts monthly ...
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Survey: Most Asset Managers See New FCA Rules Leading to Equal Mix of P&L and Client Funded Research Payments

05/09/2024
According to a recent survey by Substantive Research, almost half of all asset managers believe that the FCA’s proposed rules on research payments will lead to a shift in the ...

China Sell-Side Research Contracts after Commissions Cut and Soft Dollars Banned

04/22/2024
According to articles from several news agencies, the brokerage industry in China is in the midst of a slowdown, a trend that is prompting many firms to slash both compensation ...
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Barclays Fined for Research Conflict of Interest Violations

04/18/2024
Earlier this week the Financial Industry Regulatory Authority (FINRA) announced that it had fined Barclays Capital Inc. $700,000 for a series of rule violations related to monitoring analysts’ brokerage accounts ...
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Squaring The Circle:  Commission Sharing Arrangements are the best payment method for U.S. investment research following the expiry of the SEC “No Action” Letter

04/15/2024
The following guest article was written by Francis Land, founder and principal at FHDL Consulting.  Francis has worked in equity capital markets for 29 years and specialises in research evaluation ...
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FCA Issues Consultation Paper on Research Payment Optionality

04/11/2024
Yesterday, the UK’s Financial Conduct Authority issued its long awaited CP24/7 on Payment Optionality for Investment Research recommending changes to the way UK asset managers can pay for investment research. ...
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Data Regulators in China, the UK, and Europe Are Making Moves – What Alternative Data Users Should Know

04/01/2024
The following guest article was written by Mikheil Shengelia, Research Analyst at Eagle Alpha, an alternative data aggregation platform providing supporting advisory services for data buyers and vendors. Regulatory activities in the ...
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Majority of European IRPs Expect Buy-Side Firms to “Rebundle”

03/28/2024
The seventh annual survey conducted by trade association Euro IRP found that 60% of IRPs believe that asset managers will move to using client money to pay for external research ...
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