Browsing: Compliance

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Europe Re-bundles Small and Mid-Cap Research

11/27/2020
The European Parliament passed legislation allowing investment firms to pay for small and mid-cap research using client commissions, as part of a larger Covid-19 relief package.  The move further isolates ...
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EU Considers Further Broadening of Unbundling Reform

10/16/2020
Despite an internal study concluding that MiFID II has not reduced research coverage, EU regulators are considering expanding proposed exemptions to MiFID II’s unbundling provisions.  The concerted EU efforts to ...
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Yodlee’s Privacy Woes Deepen

09/30/2020
Following an FTC investigation into its privacy controls, Envestnet Yodlee, which is the leading provider of credit card transaction data, now faces a class action suit filed in California which ...
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Appeals Court Rules that Web Scraping Bots May Be Illegal

07/30/2020
As the landmark hiQ Labs v. LinkedIn web scraping case is being considered for review by the US Supreme Court, a new legal defense against web harvesting has arisen.  The ...
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Europeans Waste No Time Rolling Back Research Unbundling

07/27/2020
Ostensibly part of a COVID-19 relief package, the European Commission is proposing to unwind requirements to pay for equity research on small-cap stocks separately from trading commissions.  Fixed income research ...
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COVID-19 Push to Pass US Federal Privacy Law

07/17/2020
Republican Senators recast their data privacy legislation as a response to the coronavirus pandemic, in an attempt to get their version passed before the coming election.  Although Democrats would prefer ...
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A Few Takeaways from the ‘Unbundling Uncovered’ Conference

06/26/2020
Substantive Research’s influential conference on investment research went virtual Wednesday, covering the status of research unbundling as Europe considers rolling back MiFID II, as well as the impact of COVID-19 ...
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Why EU Backsliding on Research Unbundling Matters

06/22/2020
Recent articles dismissing potential EU reforms to MiFID II’s unbundling provisions are missing broader ramifications.  EU regulators have shown themselves to be increasingly skeptical about the consequences of research unbundling, ...
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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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