Browsing: Compliance
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Kalshi’s Attempt Fails: Wall Street Needs Workable Compliance for Prediction Markets
06/15/2026
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 ...
Survey: The US vs EU Research Budget Divergence
05/04/2026
Substantive Research recently published findings from a survey of the 50 largest asset managers globally showing US investment research budgets have recovered 40 basis points since 2022, while European budgets ...
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Does AI Create Insider Trading Without Insiders?
02/11/2026
The following is a guest article written by Vinesh Jha, CEO of ExtractAlpha, an independent research firm dedicated to providing unique, actionable alpha signals to institutional investors. Vinesh has spent ...
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2025: A Transformative Year for ESG and Sustainability in the Global Investment Research Industry
12/31/2025
2025 marked a watershed moment for Environmental, Social, and Governance (ESG) factors and sustainability initiatives, profoundly influencing the global investment research industry. Amid escalating climate risks, geopolitical shifts, and heightened ...
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Outsourcing Oversight: SEC Expectations and the Role of Due Diligence Software
12/22/2025
The following guest article was written by John McGough, Jr., a member of the Global Business Development team at financial technology provider Castine, LLC. John has spent over 25 years ...
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SEC Ends Remaining Restrictions from 2003 Global Research Analyst Settlement
12/18/2025
On December 5, 2025, the Securities and Exchange Commission (SEC) announced a significant regulatory shift by consenting to the termination of the remaining restrictions associated with the landmark Global Research ...
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FINRA Issues Stark Warnings on Generative AI Risks in 2026 Regulatory Agenda
12/11/2025
In a timely release amid the rapid proliferation of artificial intelligence tools in financial services, the Financial Industry Regulatory Authority (FINRA) has unveiled its 2026 Annual Regulatory Oversight Report, spotlighting ...
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SAI360 Acquires AI-Driven Regulatory Intelligence Company Plural Policy
12/09/2025
Last week, ethics, compliance and risk management software provider SAI360 announced that it has acquired Plural Policy, an AI-driven regulatory intelligence company that applies large language models to the analysis ...
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Passing on Research Costs to Clients Will Reverse MiFID II Damage
12/03/2025
Substantive Research, a UK-based research and market data benchmarking services provider, recently found in an industry survey that a majority of asset management firms plan to pass research costs back ...
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The Slow March Towards CSAs
10/06/2025
This guest article was written by Chris Newson & Caroline Bayman. Chris and Caroline together have over 45 years’ experience in research and commission management on buy and sell sides. ...