Browsing: Compliance
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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 ...
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Research Coverage HAS NOT Fallen Much Due to MiFID II
01/16/2020
According to analysis recently published by global market data vendor Refinitiv, despite the fears expressed by many, the research unbundling mandate associated with MiFID II has not resulted in much ...
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State-level Privacy Legislation Gains in US
01/10/2020
While the US Congress has been working toward a bipartisan data privacy bill, state-level privacy legislation is proliferating. The longer Congress dallies, the more states are getting into the act. ...
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US Brokers More Optimistic About Research than European Peers
01/09/2020
In a recent note published by Refinitiv highlighting the feedback from their annual Broker Dinners located in New York and London, sell-side and independent research executives from US firms were ...
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2019 Regulatory Review: Increasing Data Privacy Regulation Provides Tricky Environment for Alternative Data
01/03/2020
In contrast to the cool US reaction to MiFID II’s unbundling provisions, European privacy regulation is being replicated in the US at the state level with increasing likelihood of federal ...
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2019 Regulatory Review: MiFID II Rules Fail to Get Traction in US
01/01/2020
During 2019 there was a backlash against the research unbundling provisions in MiFID II as German and French regulators proposed reform and US regulators refused to adopt similar rules. From ...