Browsing: Compliance

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Covid Accelerates Outsourcing Trend Across the Street

03/01/2021
The following article was written by Mr. Kuni Chen, CFA, a former sell-side equity research analyst and the Director of Research Advisory Practice at Compliance Risk Concepts. Today, many nonregistered firms ...
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Former SEC Staffer Joins Atheneum as CCO and General Counsel

01/28/2021
Berlin-based expert network, Atheneum Partners, recently announced the hiring of former SEC Senior Counsel and Wall Street compliance attorney, Susan Mathews as General Counsel and Chief Compliance Officer. Atheneum’s Recent ...
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SEC Concerns about Alternative Data Risks

12/22/2020
In recent weeks a few law firms and trade associations have been discussing the various concerns the SEC has expressed about asset managers’ use of alternative data – including MNPI, ...
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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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