Browsing: MiFID II

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2023 Regulatory Review: MiFID II, Privacy, AI and ESG Receive Increased Focus

12/27/2023
Regulatory changes have been a hot topic of debate in 2023, with regulators and lawmakers honing in on research payments, privacy concerns, ESG data harvesting, and the use of artificial ...

Some Buy-Side Firms Pay More than Others for the Same Levels of Research

12/11/2023
According to a recent study conducted by UK-based research advisory firm, Substantive Research, the investment research market remains opaque as some buy-side firms are paying almost three times more than ...

AI, research as content and the future of payment: thoughts from Unbundling Uncovered London 2023

11/20/2023
The following guest article was written by Ms. Clare Cavenagh who works in communications and social media at Singletrack, the leading client engagement and data-driven analytics platform for capital markets. ...
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Will Clients Agree With UK Asset Managers’ Possible Move to Using Commissions to Pay for Research Once Again?

11/13/2023
Since July 2023, the UK asset management industry has been discussing whether the research payment optionality proposed by Rachel Kent in her UK Investment Research Review is realistic, particularly since ...
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Is the SEC Asleep at the Switch Regarding Research Payments?

10/30/2023
The following guest article was written by Robert Nowicki, a commission management consultant with more than twenty years of experience managing the global commission management divisions of major Wall Street ...

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 ...

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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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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