Browsing: Regulatory
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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 ...
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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 ...
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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 ...
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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 ...
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AI, Consumer Insights, and Market Trends: Key Insights from Eagle Alpha’s NYC Conference
03/10/2025
The following is a guest article published by Eagle Alpha, an alternative data aggregation platform that also provides supporting advisory services for data buyers and vendors.
Eagle Alpha’s Alternative Data Conference ...
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Acting SEC Chairman Looks to Stall Climate-Related Disclosure Rules
02/25/2025
A few weeks ago, acting SEC Chairman Mark Uyeda issued a statement looking to stall pending legal challenges to the SEC’s previously passed climate-risk disclosure rule. SEC Requests Halt to ...
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Research Budgeting Myths – Part Two – Asset Owners Can’t Wait to Fire Their Managers!
02/24/2025
The headlong rush by UK and EU asset managers to move to pay for external research via P&L at the onset of MiFID II is one of the most remarkable ...
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Research Budgeting Myths – Part One
02/17/2025
The following is Part 1 of a two-part guest article by Neil Scarth, Principal of Frost Consulting (www.frostconsulting.co.uk) which provides customizable research budgeting/valuation frameworks and research spending databases.
At the request ...
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UK Asset Managers Weigh Research Cost Changes Amid New FCA Framework
02/05/2025
The Financial Conduct Authority's recent regulatory changes regarding investment research costs have prompted discussion among UK asset managers about passing these expenses to end investors. Substantive Research Survey Results In ...