Browsing: Compliance

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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 ...
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US Senate Gets Serious About US Privacy Law

12/24/2019
A draft privacy bill by the Democratic ranking member of the Senate Commerce Committee prompted the Republican chairman of the committee to draft an alternative bill and hold hearings on ...

Some Hedge Funds Gains Access to BoE Briefings Seconds Ahead of Rivals

12/23/2019
Officials at the Bank of England (BoE) recently responded to an article in the Times revealing that a third-party supplier sold an audio backup of its online news conferences to ...

US Agencies Comment on Alternative Data Use in Credit Underwriting

12/16/2019
A few weeks ago, the Federal Reserve Board of Governors, Consumer Financial Protection Bureau, Federal Deposit Insurance Corporation, National Credit Union Administration and the Office of the Comptroller of the ...
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