Browsing: Regulatory
Premium
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 ...
Premium
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 ...
Premium
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 ...
Exclusive
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. ...
Exclusive
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 ...
Exclusive
The Growing Problem of “AI Washing” in the Global Asset Management Industry
07/21/2025
In recent years, a growing number of asset management firms have invested considerable sums in building out their artificial intelligence capabilities as the public at large agree that these tools ...
Exclusive
The Lost Art of Commission Management – And How to Find It Again
06/09/2025
The following guest article was written by Bob Nowicki, President at Westbay Global Consultants, a consultant in client strategy/profitability and commission management with more than twenty years of experience managing ...
Premium
Exclusive
Data Privacy Developments during 2025
06/04/2025
Asset managers’ use of alternative data has continued to grow in the past year despite various regulatory developments. Clearly, data privacy rules have been at the forefront of legal and ...
Premium
Global 2025 Regulatory Landscape for ESG and Sustainability Investing
05/14/2025
The regulatory landscape for environmental, social, and governance investing is constantly changing, with the legal pushback on U.S. disclosure rules, and the increased popularity in state-level mandates, creating uncertainty in ...
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 ...