Browsing: Compliance
FCA PS25/4: New Rules on Investment Research Payments for Pooled Funds
05/12/2025
On May 9, 2025, the UK Financial Conduct Authority (FCA) published its policy statement PS25/4, finalizing new rules that grant pooled investment funds greater flexibility in paying for investment research.
These ...
Exclusive
AI, Consumer Insights, and Market Trends: Key Insights from Eagle Alpha’s NYC Conference
03/10/2025
The following is a guest article published by Eagle Alpha, an alternative data aggregation platform that also provides supporting advisory services for data buyers and vendors.
Eagle Alpha’s Alternative Data Conference ...
Premium
Acting SEC Chairman Looks to Stall Climate-Related Disclosure Rules
02/25/2025
A few weeks ago, acting SEC Chairman Mark Uyeda issued a statement looking to stall pending legal challenges to the SEC’s previously passed climate-risk disclosure rule. SEC Requests Halt to ...
Exclusive
Research Budgeting Myths – Part Two – Asset Owners Can’t Wait to Fire Their Managers!
02/24/2025
The headlong rush by UK and EU asset managers to move to pay for external research via P&L at the onset of MiFID II is one of the most remarkable ...
Exclusive
Research Budgeting Myths – Part One
02/17/2025
The following is Part 1 of a two-part guest article by Neil Scarth, Principal of Frost Consulting (www.frostconsulting.co.uk) which provides customizable research budgeting/valuation frameworks and research spending databases.
At the request ...
Premium
UK Asset Managers Weigh Research Cost Changes Amid New FCA Framework
02/05/2025
The Financial Conduct Authority's recent regulatory changes regarding investment research costs have prompted discussion among UK asset managers about passing these expenses to end investors. Substantive Research Survey Results In ...
Premium
Hindenburg’s Anderson Could Face Securities Fraud Charges
01/31/2025
Recent court filings suggest that Hindenburg Research founder Nathan Anderson may face securities fraud charges following revelations about alleged undisclosed collaborations with a Toronto-based hedge fund. Securities Fraud Changes According ...
Premium
EU Set to Pare Back ESG Reporting Requirements
01/30/2025
In the past few weeks, various news agencies have reported that the European Union is set to pare back its ESG reporting requirements after the French government submitted a proposal ...
SEC Focuses on Advisers Not Tailoring Compliance Policies to Specific Risk of Receiving MNPI
12/16/2024
The Securities and Exchange Commission (SEC) recently settled enforcement actions against two registered investment advisers for failing to establish, maintain, and enforce written policies and procedures specifically tailored to the ...
Exclusive
Latest Legal and Compliance Updates in China
12/02/2024
The following guest article was submitted by Mikheil Shengelia, Research Analyst at Eagle Alpha, an alternative data aggregation platform providing supporting advisory services for data buyers and vendors. Eagle Alpha ...