Browsing: Regulators

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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 ...

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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Global Research Regulatory Change:  Sleepwalking into An Avalanche – Where is Leon Festinger Now?

05/22/2023
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.  Leon Festinger was an American psychologist who ...
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SEC Reiterates No Extension to MiFID II “No Action” Letter

03/15/2023
A few weeks ago, SEC Chairman Gary Gensler held a conference call with a small number of SIFMA members to discuss the MiFID II “No Action” Letter.  Attendees noted that ...
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MiFID II: “No matter where you go, there you are!”

11/07/2022
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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The CUSIP – A Tax on Financial Market Innovation and Transformation

12/07/2021
The following is a guest article written by Tim Baker, CFA principal of Blue Sky Thinking, LLC which provides management consulting, project management and strategic business consulting in the big ...
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Alt Data Use Rises…Among Central Bankers?

03/19/2020
In recent years, the use of alternative data has become popular among hedge funds and other institutional investors.  However, recently, the spread of COVID-19 has prompted a few central bankers ...
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Negotiations on SEC “No Action” Letter Slow Going

11/12/2018
Panelists at last Thursday evening’s INTL FCStone panel on MiFID II revealed that industry negotiations with the SEC regarding their temporary “no action” letter allowing US investment banks to receive ...
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Fourth Annual Unbundling Uncovered Conference Slated to be Held in London

11/01/2018
On Tuesday, November 13th, Substantive Research will be holding its fourth annual Unbundling Uncovered conference in London to foster an industry-wide discussion of how the financial services industry is adapting ...
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Latest MiFID II Guidance Fails to Bring Relief to Independent Boutiques

07/13/2018
Despite lobbying by independent boutiques, new guidance from European regulators ignored requests for exemptions from MiFID II strictures for research providers which do not have trading desks or offer investment ...
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