Browsing: Regulatory
Exclusive
How the SEC Case Against Andrew Left Could Impact the Research Business
08/12/2024
According to an article published recently in the Institutional Investor, the SEC’s pending case against well known “short and shout” researcher Andrew Left and Citron Research for securities fraud and ...
Premium
SEC Charges Andrew Left and Citron Research in a $20 Million Fraud Scheme
08/07/2024
The Securities and Exchange Commission recently brought formal charges against Andrew Left and his company Citron Research at the end of July related to a $20 million multi-year fraud scheme. ...
Premium
Exclusive
New UK Research Rules: Part II
07/30/2024
The following is a guest article by Neil Scarth, Principal of Frost Consulting (www.frostconsulting.co.uk/) which provides customizable research budgeting/valuation frameworks and research spending databases. In the first article in the ...
Exclusive
New UK Research Rules: The Starting Gun for Global Research Regulatory Convergence?
07/29/2024
The following is a guest article by Neil Scarth, Principal of Frost Consulting (www.frostconsulting.co.uk/) which provides customizable research budgeting/valuation frameworks and research spending databases.
What goes around comes around – sort ...
U.S. Investment Research Budgets Rebound 15% in 2024
07/15/2024
Substantive Research, the UK-based research and data spend analytics provider, recently published a survey showing that as a proportion of AUM, US asset managers’ research budgets rose 15%, while European ...
Premium
Key Takeaways from Unbundling Uncovered USA 2024
07/03/2024
The following is a guest article by Mike Carrodus, founder of Substantive Research, a UK-based advisory firm offering independent comparison and discovery of investment research, ESG and market data pricing ...
Shining a Spotlight on the Client Commission Costs of CSA/Soft Dollar Aggregation Platforms across Asset Owners, Asset Managers, and CSA brokers
06/24/2024
The following guest article was written by Kevin Petrello, US Commercial Lead for Research Manager at S&P Global. Kevin has extensive experience in the areas of CSA’s, research unbundling/evaluation, 28e ...
SEC Commissioner Pushes for Review of Current U.S. Research Analyst Rules
06/17/2024
Last week, speaking before the International Bar Association’s Asset Management Industry Conference on Global Challenges and Opportunities, SEC Commissioner, Mark Ueda discussed the history of U.S. regulations covering investment research. ...
Exclusive
The CFPB’s Proposed Rule on Open Banking and its Potential Impact on Alternative Data
06/03/2024
The following guest article was written by Mikheil Shengelia, Research Analyst at Eagle Alpha, an alternative data aggregation platform providing supporting advisory services for data buyers and vendors.
Eagle Alpha hosts monthly ...
Premium
Survey: Most Asset Managers See New FCA Rules Leading to Equal Mix of P&L and Client Funded Research Payments
05/09/2024
According to a recent survey by Substantive Research, almost half of all asset managers believe that the FCA’s proposed rules on research payments will lead to a shift in the ...