Browsing: Regulatory

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Will Clients Agree With UK Asset Managers’ Possible Move to Using Commissions to Pay for Research Once Again?

11/13/2023
Since July 2023, the UK asset management industry has been discussing whether the research payment optionality proposed by Rachel Kent in her UK Investment Research Review is realistic, particularly since ...
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Is Alternative Data Compliance & Regulation in Europe and the UK Lagging Behind the US?

11/06/2023
The following guest article was written by Mikheil Shengelia, Research Analyst at Eagle Alpha, an alternative data aggregation platform that also provides supporting advisory services for data buyers and vendors. Eagle Alpha recently ...
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China Formally Arrests Japanese Executive for Alleged Espionage

11/01/2023
Last week, Chinese government authorities formally arrested a Japanese executive of Astellas Pharma in Beijing for alleged espionage.  This is just the latest development in a series of raids, arrests, ...
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Is the SEC Asleep at the Switch Regarding Research Payments?

10/30/2023
The following guest article was written by Robert Nowicki, a commission management consultant with more than twenty years of experience managing the global commission management divisions of major Wall Street ...
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SEC 2024 Exam Priorities: Information Security, Operational Resiliency, AML, AI, Crypto, & ESG

10/25/2023
Last week, the SEC’s Division of Examinations announced its 2024 examination priorities.  A few of the key issues the SEC plans to focus on in their examinations next year include ...
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Capvision Passed China’s National Security Check

10/10/2023
Chinese headquartered expert network provider, Capvision Partners, recently announced they passed China’s national security check.   The firm had been the subject of various raids by the Chinese government earlier in ...
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EU’s New ESG Ratings Proposal Likely to Shake Up Industry

10/03/2023
The European Union’s regulatory proposal regarding ESG Ratings providers, issued in June, is likely to shake up the alternative data industry as the EU tries to enhance transparency, reduce conflicts ...

Buy-Side Research Budgets Continue to Shrink Despite Rebundling Potential

09/25/2023
According to a recent study conducted by Substantive Research, a UK-based research discovery and research spend analytics provider, asset managers’ average research budgets have continued to shrink in 2023, reflecting ...

Financial Industry Urges SEC to Withdraw AI Proposal

09/18/2023
Last week, a group of 14 trade associations has asked the SEC to withdraw its proposed rule on investment advisers’ and broker dealers’ use of artificial intelligence, saying the rule ...
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The SEC’s Initial Proposal to Regulate AI in Financial Markets

08/21/2023
On July 26th, 2023 the U.S. Securities and Exchange Commission (SEC) proposed an initial set of regulations aimed at addressing the potential conflicts of interest that could arise from companies’ ...
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