Browsing: Regulators
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SEC Proposes Rescission of Climate-Related Disclosure Rules
06/10/2026
The U.S. Securities and Exchange Commission (SEC) has recently proposed the formal rescission of climate-related disclosure rules which became effective in March 2024 following pushback from public companies and various ...
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Substantive Research Survey Reveals MiFID II Reversal As Europe Moves Back To CSAs
07/17/2025
In May 2025, the Financial Conduct Authority released PS25/4, its most recent policy statement regarding payment optionality for investment research costs. In response, UK-based Substantive Research recently released a survey ...
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Acting SEC Chairman Looks to Stall Climate-Related Disclosure Rules
02/25/2025
A few weeks ago, acting SEC Chairman Mark Uyeda issued a statement looking to stall pending legal challenges to the SEC’s previously passed climate-risk disclosure rule. SEC Requests Halt to ...
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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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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 ...
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Majority of European IRPs Expect Buy-Side Firms to “Rebundle”
03/28/2024
The seventh annual survey conducted by trade association Euro IRP found that 60% of IRPs believe that asset managers will move to using client money to pay for external research ...
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SEC Passes Watered Down Climate Disclosures
03/12/2024
Last week, the Securities and Exchange Commission approved new legislation that requires U.S. corporations to disclose their role in driving climate change and the potential impact warming conditions pose to ...
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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 ...