Browsing: Compliance

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ESG Regulation: What Investors Should Prepare for in 2024

01/30/2024
One of the key trends that continue to impact the global investment and alternative data industries as we head into 2024 is the move to implement sustainable economic policies.  Consequently, ...
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Investors’ In-House ESG Scores Diverge More than ESG Providers’ Ratings

01/09/2024
According to a recent study by Paris-based Valuecometrics, external ESG ratings provide greater comparability and insights compared to investors’ in-house scores, yet both still fall short compared to investor expectations. ...
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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 ...
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Singapore Launches Code of Conduct for ESG Ratings and Data

12/19/2023
The Monetary Authority of Singapore (MAS) recently announced the publication of its finalized Code of Conduct for ESG Ratings and Data Product Providers and an accompanying checklist for providers to ...

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 ...
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Mintz Group Staff Still Stuck in China

11/29/2023
According to various news articles, Mintz Group, a US-based due diligence firm, is still struggling to win the release of their China-based employees following Chinese government raids of their operations ...

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 Alternative Data Compliance & Regulation in Europe and the UK Lagging Behind the US?

11/06/2023
The following guest article was written by Mikheil Shengelia, Research Analyst at Eagle Alpha, an alternative data aggregation platform that also provides supporting advisory services for data buyers and vendors. Eagle Alpha recently ...
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China Formally Arrests Japanese Executive for Alleged Espionage

11/01/2023
Last week, Chinese government authorities formally arrested a Japanese executive of Astellas Pharma in Beijing for alleged espionage.  This is just the latest development in a series of raids, arrests, ...
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