The US House of Representatives has passed a bipartisan bill requiring the Securities and Exchange Commission (SEC) to study the provision of investment research for small issuers. It will require the SEC to explore a broad range of issues including among others the demand for research by institutional and retail investors; the availability of research; the volume of research over time; current competition in the research market; the costs of research; potential conflicts of interest in the production and distribution process; and the impact of different payment mechanisms. The bill has now been passed to the Senate for approval.
A-Team Insight Briefs
Recorded Webinar: Privacy vs. Surveillance: Managing conflicting regulations in Germany and other privacy-sensitive jurisdictions
The EU’s MiFID II and other regulations globally have placed greater emphasis than ever on market surveillance, recording of trading communications and records-retention processes in an attempt to stamp out market abuse and boost investor confidence and protections. At the same time, the public’s attitude toward data privacy has hardened, most visibly through new regulations...
Last week, software and services provider GoldenSource released new Brexit-specific datasets to help banks prepare for the worst in the event of a no-deal Brexit on March 29. With the prospect of any deal still very much up in the air, and only 10 days to go till the deadline, concerns are running high. So...
Now in its 3rd year, the RegTech Summit in NYC explores how the North American financial services industry can leverage technology to drive innovation, cut costs and support regulatory change.
Welcome to our brand new RegTech Suppliers Guide. This unique guide provides detailed data profiles on close to 100 suppliers in the RegTech world, offering you an unrivalled selection of solutions for your most pressing financial regulatory challenges. The aim of the A-Team’s RegTech Suppliers Guide is to steer you through this complex marketplace, offering...