Browsing: Compliance
Buy-Side Research Budgets Continue to Shrink Despite Rebundling Potential
09/25/2023
According to a recent study conducted by Substantive Research, a UK-based research discovery and research spend analytics provider, asset managers’ average research budgets have continued to shrink in 2023, reflecting ...
Financial Industry Urges SEC to Withdraw AI Proposal
09/18/2023
Last week, a group of 14 trade associations has asked the SEC to withdraw its proposed rule on investment advisers’ and broker dealers’ use of artificial intelligence, saying the rule ...
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The SEC’s Initial Proposal to Regulate AI in Financial Markets
08/21/2023
On July 26th, 2023 the U.S. Securities and Exchange Commission (SEC) proposed an initial set of regulations aimed at addressing the potential conflicts of interest that could arise from companies’ ...
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Morningstar Report: ESG Remains Important for Pension Funds and Asset Owners
08/02/2023
Morningstar recently released the second phase of its annual Morningstar Voice of the Asset Owner Survey revealing asset owners’ views on ESG and its impact on the investment decision-making process. ...
UK Proposes Unwinding MiFID II Unbundling Requirements
07/17/2023
Last Monday evening the UK’s Chancellor of the Exchequer delivered his first Mansion House speech. In this speech, Hunt said that he accepted all the recommendations made in Rachel Kent’s ...
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Euro IRP Welcomes the UK Investment Research Review
07/14/2023
Euro IRP, the European Association of Independent Research, recently published its formal response to the July 10th publication of Rachel Kent’s UK Investment Review. Following is Euro IRP’s statement. Euro ...
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Response to SEC’s Non-Extension of the MiFID II No-Action Relief
07/11/2023
On July 3, 2023, the Securities and Exchange Commission (SEC) allowed its no-action letter regarding the Markets in Financial Instruments Directive II (MiFID II) to lapse. Though the industry has ...
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AI Fails Insider Trading Test
06/26/2023
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 GC and ...
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Key Takeaways from Unbundling Uncovered USA 2023
06/21/2023
The following is a guest article by Mike Carrodus, founder of Substantive Research, a research curation and benchmarking service, summarizing topics discussed at the firm’s recent New York conference focused ...
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The SEC’s Enduring Rulemaking Masterpiece: The Argument for Soft Dollars in the US
06/12/2023
The following guest article was written by Allan Goldstein, CEO Euronext Market Services, Managing Director Commcise Software, a leading technology provider for investment managers, investment research providers and broker dealers ...