Browsing: Compliance

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SEC 2024 Exam Priorities: Information Security, Operational Resiliency, AML, AI, Crypto, & ESG

10/25/2023
Last week, the SEC’s Division of Examinations announced its 2024 examination priorities.  A few of the key issues the SEC plans to focus on in their examinations next year include ...
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Capvision Passed China’s National Security Check

10/10/2023
Chinese headquartered expert network provider, Capvision Partners, recently announced they passed China’s national security check.   The firm had been the subject of various raids by the Chinese government earlier in ...
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EU’s New ESG Ratings Proposal Likely to Shake Up Industry

10/03/2023
The European Union’s regulatory proposal regarding ESG Ratings providers, issued in June, is likely to shake up the alternative data industry as the EU tries to enhance transparency, reduce conflicts ...

Buy-Side Research Budgets Continue to Shrink Despite Rebundling Potential

09/25/2023
According to a recent study conducted by Substantive Research, a UK-based research discovery and research spend analytics provider, asset managers’ average research budgets have continued to shrink in 2023, reflecting ...

Financial Industry Urges SEC to Withdraw AI Proposal

09/18/2023
Last week, a group of 14 trade associations has asked the SEC to withdraw its proposed rule on investment advisers’ and broker dealers’ use of artificial intelligence, saying the rule ...
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The SEC’s Initial Proposal to Regulate AI in Financial Markets

08/21/2023
On July 26th, 2023 the U.S. Securities and Exchange Commission (SEC) proposed an initial set of regulations aimed at addressing the potential conflicts of interest that could arise from companies’ ...
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Morningstar Report: ESG Remains Important for Pension Funds and Asset Owners

08/02/2023
Morningstar recently released the second phase of its annual Morningstar Voice of the Asset Owner Survey revealing asset owners’ views on ESG and its impact on the investment decision-making process. ...

UK Proposes Unwinding MiFID II Unbundling Requirements

07/17/2023
Last Monday evening the UK’s Chancellor of the Exchequer delivered his first Mansion House speech.  In this speech, Hunt said that he accepted all the recommendations made in Rachel Kent’s ...
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Euro IRP Welcomes the UK Investment Research Review

07/14/2023
Euro IRP, the European Association of Independent Research, recently published its formal response to the July 10th publication of Rachel Kent’s UK Investment Review.  Following is Euro IRP’s statement. Euro ...
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Response to SEC’s Non-Extension of the MiFID II No-Action Relief

07/11/2023
On July 3, 2023, the Securities and Exchange Commission (SEC) allowed its no-action letter regarding the Markets in Financial Instruments Directive II (MiFID II) to lapse. Though the industry has ...
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