Browsing: Compliance
2022 Euro IRP Member Survey: IRPs Remain Concerned over Predatory Pricing from Sell-Side Research Groups
11/28/2022
The recently released 2022 Euro IRP Member Study revealed a number of key findings, including concerns from over 70% of survey participants about predatory pricing from sell-side investment banks regarding ...
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After Six Years, LinkedIn Wins Web Scraping Case Against hiQ
11/08/2022
After a marathon legal battle that went to the Supreme Court and hastened the demise of hiQ Labs, the U.S. District Court for the Northern District of California ruled that ...
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MiFID II: “No matter where you go, there you are!”
11/07/2022
The following guest article was written by Robert Nowicki, a commission management consultant with more than twenty years of experience managing the global commission management divisions of major Wall Street ...
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One MIFID II Payment Solution May Be Risky for Brokers
09/22/2022
Over the past few months, both the buy and sell-side have been discussing various ways to address the SEC’s recent announcement that they will not extend the SIFMA “no action” ...
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Webinar: SEC No Action Relief for MiFID II Clients to End
09/19/2022
Global agency broker, StoneX will be hosting a live webinar featuring three industry experts this Tuesday, September 20th at 11:00 am to discuss the impact of the SEC’s recent announcement ...
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Two More States Pass Data Privacy Laws
09/13/2022
Although the US Congress may finally be getting serious about passing a national data privacy law, state-level regulations continue to proliferate. Connecticut and Utah joined California, Colorado and Virginia in ...
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FCA Warns It Will Crack Down on ESG Mislabeling
08/11/2022
Earlier this week, the FCA warned the industry that it will scrutinize the marketing used by hedge funds and private equity firms about ESG related investment products to ensure they ...
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LinkedIn Gets Its Way Against hiQ As Meta Files New Web Scraping Cases
08/05/2022
In a sad footnote to the landmark web scraping case hiQ Labs Inc v LinkedIn Corporation, a federal judge in San Francisco vacated the 2017 order that required Microsoft-owned LinkedIn ...
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US Data Privacy Legislation — With More Bite than GDPR — May Actually Happen
08/02/2022
The US House of Representatives will be voting on a new data privacy law that passed out of committee with strong bipartisan support. The new bill, which would largely supersede ...
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SEC No-Action Letters on MiFID II Won’t Be Extended
07/28/2022
Earlier this week, as part of his prepared remarks at the PLI: Investment Management 2022 conference, William Birdthistle the SEC Director, Division of Investment Management explained that the SEC does ...