Browsing: Compliance
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Expert Networks Continue to Present Compliance Challenges
02/17/2020
The following is a guest article by Susan Mathews, Principal & Founder of Madigail Consulting, LLC a securities compliance consultant providing research and ethics compliance, training and external CCO services ...
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France Proposes Sweeping Reform to MiFID II Unbundling
02/04/2020
A report sponsored by French regulators recommended extensive revisions to MiFID II’s research inducement rules. Unlike a MiFID II review conducted UK regulators which supported the status quo, French opposition ...
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Buy-Side Spending on Research Expected to Continue Falling in 2020
01/30/2020
According to Integrity Research’s annual research industry outlook, spending by global asset managers on sell-side and independent research is expected to fall 5.5% in 2020 – marking the third consecutive ...
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LinkedIn Will Appeal Web Scraping Ruling to US Supreme Court
01/29/2020
Web harvesting concerns remain alive as LinkedIn refuses to concede defeat in its attempt to squash scraping of its publicly available data. In documents filed with the Ninth Circuit Court ...
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Can Asset Managers Not Subject to MiFID II Use Cash to Pay for US Research?
01/27/2020
On November 4, 2019, the SEC extended its “no-action” relief permitting US broker-dealers to accept cash payments for its research from asset managers who are subject to MiFID II until ...
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SEC Begins Examining Alternative Data Practices
01/21/2020
For the first time, the US Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) added alternative data to its planned areas for monitoring in its announcement of ...
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Differential Privacy Technique Trumps Anonymized Data But Still Not Perfect
01/17/2020
Firms are embracing differential privacy to better protect the confidentiality of individual user data. The system, developed by cryptographers, is more robust than simply anonymizing data, yet still has vulnerabilities ...
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Research Coverage HAS NOT Fallen Much Due to MiFID II
01/16/2020
According to analysis recently published by global market data vendor Refinitiv, despite the fears expressed by many, the research unbundling mandate associated with MiFID II has not resulted in much ...
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State-level Privacy Legislation Gains in US
01/10/2020
While the US Congress has been working toward a bipartisan data privacy bill, state-level privacy legislation is proliferating. The longer Congress dallies, the more states are getting into the act. ...
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US Brokers More Optimistic About Research than European Peers
01/09/2020
In a recent note published by Refinitiv highlighting the feedback from their annual Broker Dinners located in New York and London, sell-side and independent research executives from US firms were ...