Browsing: Compliance
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Does Alternative Data Really Carry Insider Trading Risk?
05/05/2022
The U.S. Securities and Exchange Commission’s Division of Examinations recently warned US investment advisers that it was finding deficiencies in their compliance processes relating to material non-public information (MNPI) associated ...
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SEC’s Proposed Climate Change Disclosure Still Faces Hurdles
04/26/2022
New rules requiring US public companies to disclose climate change data face challenges that will test the Securities and Exchange Commission’s commitment to climate reporting. Comments on the draft regulation ...
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Ninth Circuit Rules (Again) in Favor of Web Scraping But LinkedIn Will Keep Litigating
04/22/2022
The San Francisco-based Ninth Circuit Court of Appeals concluded that the Computer Fraud and Abuse Act (CFAA), a federal anti-hacking law that bars unauthorized access to computer systems, does not ...
Castine Adds ESG Tracker to Compliance Wheelhouse
02/28/2022
Castine, a New Jersey-based provider of cloud-based commission, trade and compensation reporting, and compliance management solutions, recently announced the release of ESG Tracker to help investment managers track all ESG ...
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The Next Wave of MiFID is ESG
02/16/2022
New MiFID regulation requiring the incorporation of clients’ sustainability preferences into suitability requirements will go into effect this summer, as part of the vast new European ESG regulations. The new ...
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Fireside Chat: Compliance Best Practices for App Usage Data
02/14/2022
This Thursday, February 17th, 2022 at 11:00 am, Integrity Research Associates will host the next in its series of live ResearchInsights webinars and fireside chats featuring Jonathan Kay, the CEO ...
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FCA Ends MiFID Research Rules on SME Issuers and IRPs
12/03/2021
The UK’s Financial Conduct Authority (FCA) recently announced that it will scrap MiFID II inducement rules on research for companies with market caps of less than £200 mln, as well ...
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Ninth Circuit Appears Skeptical (Still) of LinkedIn’s Case Against hiQ
11/04/2021
Its original ruling having been vacated by the US Supreme Court, the San Francisco-based Ninth Circuit Court of Appeals once again heard oral arguments in the hiQ Labs Inc v ...
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VoxSmart Acquires NLP Provider Greenkey Technologies
09/30/2021
Recently, VoxSmart, a UK-based provider of communications surveillance for the financial services industry, acquired Chicago-based NLP tool provider GreenKey Technologies (GK) to bolster its surveillance offerings to global financial institutions. ...
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SEC Makes First Enforcement Action Against Alternative Data Firm
09/22/2021
The US Securities and Exchange Commission fined leading alternative data firm App Annie $10 million for securities fraud, making it crystal clear that the US regulator is scrutinizing the alternative ...