Browsing: Compliance
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FCA Ends MiFID Research Rules on SME Issuers and IRPs
12/03/2021
The UK’s Financial Conduct Authority (FCA) recently announced that it will scrap MiFID II inducement rules on research for companies with market caps of less than £200 mln, as well ...
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Ninth Circuit Appears Skeptical (Still) of LinkedIn’s Case Against hiQ
11/04/2021
Its original ruling having been vacated by the US Supreme Court, the San Francisco-based Ninth Circuit Court of Appeals once again heard oral arguments in the hiQ Labs Inc v ...
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VoxSmart Acquires NLP Provider Greenkey Technologies
09/30/2021
Recently, VoxSmart, a UK-based provider of communications surveillance for the financial services industry, acquired Chicago-based NLP tool provider GreenKey Technologies (GK) to bolster its surveillance offerings to global financial institutions. ...
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SEC Makes First Enforcement Action Against Alternative Data Firm
09/22/2021
The US Securities and Exchange Commission fined leading alternative data firm App Annie $10 million for securities fraud, making it crystal clear that the US regulator is scrutinizing the alternative ...
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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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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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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 ...