Browsing: Compliance
RBC Analyst Arrested for Insider Trading
08/26/2019
In recent weeks, RBC Capital Markets junior investment banking analyst, Bill Tsai, was arrested for insider trading ahead of their April announcement that private equity firm Siris Capital Group would ...
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Biotech Firm Fined for Reg FD Violations
08/22/2019
The Securities and Exchange Commission settled charges that TherapeuticsMD, a pharmaceutical company developing women’s hormonal therapy and contraceptive products, violated Regulation Fair Disclosure in connection with its sharing of material, ...
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European Privacy Researchers De-Anonymize Personal Data
08/19/2019
A handful of European academics have made it their mission to demonstrate how easily personally identifiable information (PII) can be extracted from anonymous data. They argue that even recent regulation ...
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Transaction Data Provider Yodlee Hit by Lawsuit
08/16/2019
Leading transaction data provider Envestnet Yodlee is the subject of a $100 million lawsuit from a former software partner claiming infringement of its intellectual property rights. Although the lawsuit may ...
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Research Funding Update: Slowly, Slowly More Asset Managers Absorb Research Costs
07/29/2019
In contrast to the stampede of European asset managers choosing to absorb research costs, a trickle of US asset managers are choosing to reimburse research expenses. T. Rowe Price finally ...
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Study: MiFID II Causes Dropped Coverage for Hundreds of European Firms
07/25/2019
According to a recently published academic study, hundreds of European firms lost their analyst coverage while at the same time the overall number of sell-side analysts covering European companies dropped ...
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Federal Privacy Law Likely
07/24/2019
This is the second article of two-part series reviewing pending US regulation of personally identifiable information which impacts the collection and dissemination of alternative data. In this article, we review ...
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US Privacy Laws Gain Momentum
07/23/2019
This is the first article of a two-part series reviewing pending US regulation of personally identifiable information which impacts the collection and dissemination of alternative data. In this article, we ...
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SEC to Kick MiFID II Can Further Down the Road
07/22/2019
The US Securities and Exchange Commission is reportedly considering extending its current ‘no action’ relief for cash payments to US brokers as investment banks have intensified their lobbying. The Security ...
RIXML.org Releases Version 2.0 of Interactions Standard for Comment Period
07/22/2019
Last Friday, RIXML.org, an industry association focused on electronic research distribution, released version 2.0 of its standards for capturing research-related interactions between the sell-side, buy-side, and vendor community. These open standards ...