Tag: research

Showing 4 out of 4 results

15 August 2016

#MAR_bitesize

Investment recommendations Increased scope The former Market Abuse Directive (MAD) imposed requirements designed to ensure the objective presentation of …
04 September 2015

US: FINRA issues new rules for equity and debt research

The Financial Industry Regulatory Authority (FINRA) has issued two new equity and debt research rules, which have been approved by the SEC.  New …
03 February 2015

US and HK regulators in pursuit of credit rating and research firms

On 21 January 2015, the United States Securities Exchange Commission  announced sanctions against credit rating firm, Standard & Poor’s Rating …
18 August 2014

UK: FCA publishes feedback on its thematic review of the use of dealing commission

Investment managers will be aware that the FCA has been holding discussions with the industry and conducting a thematic supervisory review (between …