Browsing: Compliance
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Despite MiFID II, Commission Rates Remain Higher in Europe than US
06/02/2020
Although MiFID II’s research unbundling provisions narrowed the spread between US equities commission rates and those of the UK and Europe, US rates remain at least a third lower, according ...
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Yodlee’s Credit Card Transaction Data Goes Under the Microscope
05/29/2020
Leading transaction data provider Envestnet Yodlee is under increasing scrutiny since three members of the US Congress called on the Federal Trade Commission to investigate the firm for privacy violations. ...
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The ROI of Research Transparency – Pivotal Moment in the US?
05/26/2020
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. Frost Consulting recently collaborated with Evercore ...
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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 ...