Browsing: Regulators

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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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MiFID II’s Failures Are Already Apparent

02/12/2018
The following is a reprint of an exclusive article published for ResearchWatch subscribers on December 27, 2017. MiFID II’s research unbundling provisions, which went into effect early last month, will create ...
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EU Report Urges More Reforms Beyond MiFID II

02/02/2018
As Europeans struggle to implement MiFID II, a new European Commission report urges sweeping reforms to financial markets to make them more long-term oriented and better able to finance projects ...
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French Regulators Update Research Unbundling Guidance

01/30/2018
L’Autorité des Marchés Financiers (AMF) issued an updated version of its “Guide: Funding of Research by Investment Service Providers Under MiFID II” originally published August 2017.  See our original discussion ...
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2017 Review: MiFID II’s Failures Are Already Apparent

12/27/2017
When it goes into effect next week, MiFID II’s research unbundling provisions will create intended and unintended consequences for the European research industry, along with global ramifications.  In some respects, ...
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