Browsing: Compliance


SEC’s Proposed Climate Change Disclosure Still Faces Hurdles

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 ...

Ninth Circuit Rules (Again) in Favor of Web Scraping But LinkedIn Will Keep Litigating

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

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

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 ...

Fireside Chat: Compliance Best Practices for App Usage Data

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 ...

FCA Ends MiFID Research Rules on SME Issuers and IRPs

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 ...

Ninth Circuit Appears Skeptical (Still) of LinkedIn’s Case Against hiQ

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 ...

VoxSmart Acquires NLP Provider Greenkey Technologies

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. ...

SEC Makes First Enforcement Action Against Alternative Data Firm

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 ...

US Supreme Court Remands LinkedIn vs hiQ to Appeals Court

Web harvesting concerns remain alive as the US Supreme Court (SCOTUS) vacated a lower court ruling favorable to web scraping, directing the lower court to reconsider the case in light ...
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