Browsing: Regulatory
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Hindenburg’s Anderson Could Face Securities Fraud Charges
01/31/2025
Recent court filings suggest that Hindenburg Research founder Nathan Anderson may face securities fraud charges following revelations about alleged undisclosed collaborations with a Toronto-based hedge fund. Securities Fraud Changes According ...
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EU Set to Pare Back ESG Reporting Requirements
01/30/2025
In the past few weeks, various news agencies have reported that the European Union is set to pare back its ESG reporting requirements after the French government submitted a proposal ...
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AI Copyright Cases Drive New Revenue Opportunities for Research Providers
01/08/2025
In the past year, content creators and media companies have started to challenge AI companies by bringing copyright infringement litigation arguing that these firms have been using copyrighted works to ...
SEC Focuses on Advisers Not Tailoring Compliance Policies to Specific Risk of Receiving MNPI
12/16/2024
The Securities and Exchange Commission (SEC) recently settled enforcement actions against two registered investment advisers for failing to establish, maintain, and enforce written policies and procedures specifically tailored to the ...
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Latest Legal and Compliance Updates in China
12/02/2024
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. Eagle Alpha ...
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Invesco Fined $17.5 Million in U.S. for Misleading ESG Claims
11/21/2024
A couple of weeks ago, Invesco, an Atlanta-based investment management firm, agreed to pay a $17.5 million civil penalty to settle SEC charges of creating misleading claims about ESG investments. ...
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JPMorgan Rolls Out Internal AI Chatbot for Research Analysis
10/01/2024
A few months ago, JPMorgan Chase began deploying a generative artificial intelligence (AI) tool to its employees, positioning it as an AI-based research analyst capable of performing tasks typically handled ...
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Euronext Acquires Substantive Research
09/24/2024
Last week, exchange Euronext announced that it had acquired Substantive Research, a research and market data benchmarking services provider. Substantive Research offers in-depth transparency on product and pricing comparisons for ...
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Survey: Global Asset Managers Divided on FCA’s New Unbundling Rules
08/29/2024
According to a recent survey by Substantive Research, a UK-based advisory firm focused on research and market data spending, global asset managers remain uncertain about whether they plan to adopt ...
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UK Government Plans to Regulate ESG Ratings, Adding Transparency to the Sector
08/20/2024
Last week, the United Kingdom announced new plans to regulate ESG ratings providers in 2025, following suit of many other countries. The Financial Conduct Authority Steps In On August 8th, ...