Browsing: Regulatory

House Bill Looks to Expand Insider Trading Liability

05/27/2019
In the past, there has been no law in the US establishing what makes up insider trading.  However, that all may change as the House Financial Services Committee recently passed ...
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TIAA Joins Ranks of US Managers Paying for Research from P&L

05/23/2019
According to a recent article, US asset manager TIAA has joined the ranks of less than ten US asset managers that have started paying for third-party research from their P&Ls, ...
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SEC Confirms they are Actively Seeking MiFID II Solutions

05/20/2019
At an industry conference held last week, two SEC representatives acknowledged that the commission is actively looking for solutions to enable asset managers to pay for US broker research once ...
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America’s Response to MiFID II’s Research Regulations

05/13/2019
The following is a guest article by Mike Carrodus, founder of Substantive Research, a research curation and benchmarking service, which will be hosting a conference on the implications of MiFID II ...
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Study: MiFID II Saps European Fund Performance

05/02/2019
US-based funds, largely exempt from MiFID II’s onerous unbundling regulation, outperformed equivalent European-based funds as MiFID II has gone into effect, according to a study by Evercore ISI and Frost ...

Ex-S&P Analyst Found Guilty of Insider Trading

04/29/2019
Recently, a Manhattan federal jury took a little over two hours to find former Standard & Poor’s credit analyst, Sebastian Pinto-Thomaz, guilty of illegally tipping two friends about the $9.3 ...
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Research Payments Sag in Europe and UK, According to Integrity Research Pricing Benchmark Study

04/23/2019
Average European research payments lagged North American research payments by over 40%, according to data from Integrity Research’s fourth major benchmark study of research pricing.   The survey results indicate ...
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Research Spending Update: 2018 Research Outlays Track Close to Budget

04/17/2019
With the exception of DWS, which seems to have overshot its research budget by almost a third, most European asset managers which had previously disclosed research budgets for 2018 ended ...
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Research Funding Update: US Stalemate

04/16/2019
US regulators are pouring cold water on broadening the ability for US asset managers to pay cash for US broker research, bringing US moves to absorb research costs to a ...
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Social Media Risks Increasing for Research Firms

04/08/2019
The following is a guest article by Susan Mathews, Principal  & Founder of Madigail Consulting, LLC a securities compliance consultant providing research and ethics compliance, training and external CCO services ...
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