Browsing: Regulatory
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Does AI Create Insider Trading Without Insiders?
02/11/2026
The following is a guest article written by Vinesh Jha, CEO of ExtractAlpha, an independent research firm dedicated to providing unique, actionable alpha signals to institutional investors. Vinesh has spent ...
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2025: A Transformative Year for ESG and Sustainability in the Global Investment Research Industry
12/31/2025
2025 marked a watershed moment for Environmental, Social, and Governance (ESG) factors and sustainability initiatives, profoundly influencing the global investment research industry. Amid escalating climate risks, geopolitical shifts, and heightened ...
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Outsourcing Oversight: SEC Expectations and the Role of Due Diligence Software
12/22/2025
The following guest article was written by John McGough, Jr., a member of the Global Business Development team at financial technology provider Castine, LLC. John has spent over 25 years ...
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SEC Ends Remaining Restrictions from 2003 Global Research Analyst Settlement
12/18/2025
On December 5, 2025, the Securities and Exchange Commission (SEC) announced a significant regulatory shift by consenting to the termination of the remaining restrictions associated with the landmark Global Research ...
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FINRA Issues Stark Warnings on Generative AI Risks in 2026 Regulatory Agenda
12/11/2025
In a timely release amid the rapid proliferation of artificial intelligence tools in financial services, the Financial Industry Regulatory Authority (FINRA) has unveiled its 2026 Annual Regulatory Oversight Report, spotlighting ...
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SAI360 Acquires AI-Driven Regulatory Intelligence Company Plural Policy
12/09/2025
Last week, ethics, compliance and risk management software provider SAI360 announced that it has acquired Plural Policy, an AI-driven regulatory intelligence company that applies large language models to the analysis ...
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Passing on Research Costs to Clients Will Reverse MiFID II Damage
12/03/2025
Substantive Research, a UK-based research and market data benchmarking services provider, recently found in an industry survey that a majority of asset management firms plan to pass research costs back ...
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ESMA’s Bold Step: Draft Standards for an EU Code of Conduct to Revitalize Issuer-Sponsored Research
11/18/2025
In a move poised to reshape the landscape of investment research across the European Union, the European Securities and Markets Authority (ESMA) has released its Final Report on Draft Regulatory ...
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The Slow March Towards CSAs
10/06/2025
This guest article was written by Chris Newson & Caroline Bayman. Chris and Caroline together have over 45 years’ experience in research and commission management on buy and sell sides. ...
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Compliance Considerations for Trials vs. Production Data
08/04/2025
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.
Organizations frequently rely ...