Browsing: Regulatory

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The CUSIP – A Tax on Financial Market Innovation and Transformation

12/07/2021
The following is a guest article written by Tim Baker, CFA principal of Blue Sky Thinking, LLC which provides management consulting, project management and strategic business consulting in the big ...
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FCA Ends MiFID Research Rules on SME Issuers and IRPs

12/03/2021
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 ...
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Will the SEC Enforcement Action Against App Annie Cool Demand for Alternative Data?

11/29/2021
Hedge funds embraced alternative data to get market-leading insights without violating insider trading laws, so it was a shock when US regulators fined the leading provider of mobile app data ...
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ESG Researcher RepRisk Discloses Methodology as IOSCO Finalizes Guidelines

11/26/2021
Zurich-based ESG research firm RepRisk released its ESG ratings methodology the same day that international security regulators finalized their ESG ratings disclosure recommendations.  Although regulation of ESG ratings is on ...
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Ninth Circuit Appears Skeptical (Still) of LinkedIn’s Case Against hiQ

11/04/2021
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 ...
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VoxSmart Acquires NLP Provider Greenkey Technologies

09/30/2021
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. ...
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SEC Makes First Enforcement Action Against Alternative Data Firm

09/22/2021
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 ...
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ESG Disclosure Regulation Picks Up Steam

08/11/2021
Regulators across all regions are prioritizing new ESG regulation, fueling the surging interest in ESG data.  ESG regulation is no longer solely a European phenomenon as global regulators are now ...
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UK Regulators Consider Regulating ESG Data

06/24/2021
Concerns about ESG ratings are growing as UK regulators have requested comments on whether they should more formally regulate ESG data providers.   The move follows calls from European regulators for ...
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Senate Republicans Oppose SEC Mandated ESG Disclosure

06/22/2021
On the final day of the US Securities and Exchange Commission’s comment period on climate change disclosure, the Republican members of the influential Senate Banking Committee sent a letter advising ...
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