Browsing: Compliance

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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AI Fails Insider Trading Test

06/26/2023
The following is a guest article by Susan Mathews, Principal & Founder of Madigail Consulting, LLC a securities compliance consultant providing research and ethics compliance, training and external GC and ...
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Key Takeaways from Unbundling Uncovered USA 2023

06/21/2023
The following is a guest article by Mike Carrodus, founder of Substantive Research, a research curation and benchmarking service, summarizing topics discussed at the firm’s recent New York conference focused ...
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The SEC’s Enduring Rulemaking Masterpiece: The Argument for Soft Dollars in the US

06/12/2023
The following guest article was written by Allan Goldstein, CEO Euronext Market Services, Managing Director Commcise Software, a leading technology provider for investment managers, investment research providers and broker dealers ...
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Alternative Data Through a Compliance Lens – Seven Key Considerations for 2023

06/05/2023
The following guest article was written by Dallán Ryan, Content & Advisory Lead, Data Strategy at Eagle Alpha, an alternative data aggregation platform that also provides supporting advisory services for ...
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SIFMA Response: The HFSC’s Passage of H.R. 2622

05/31/2023
On May 25th 2023, the Securities Industry and Financial Markets Association (SIFMA) expressed support for the recent bipartisan passage of H.R. 2622 by the House Financial Services Committee.  SIFMA President ...
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Why Pay Expensive Attorneys to Draft Your Policies when AI is Free? 

05/29/2023
The following is a guest article by Susan Mathews, Principal & Founder of Madigail Consulting, LLC a securities compliance consultant providing research and ethics compliance, training and external GC and ...
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House Financial Services Committee Approves Bill Directing SEC to Extend No Action Letter

05/26/2023
Yesterday, the House Financial Services Committee passed on a bipartisan basis H.R. 2622, a bill directing the SEC to extend its SIFMA “no-action” letter for 6 months during which time ...
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