Regulation Monthly archive

Dec 19, 2018
UK company discrimination complaints increase by more than 300 percent
Complaints made to the UK financial regulator the Financial Conduct Authority (FCA) involving sexual misconduct and discrimination have increased by more than 300 percent in 2018. Complaints to the regulator concerning issues like discrimination and sexual harassment in financial services grew from 20 reports in 2017 to 64 in 2018, executive director of strategy and competition at the FCA Christopher Woolard highlighted in a speech today. The disclosure follo...
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Dec 18, 2018
30 IR stars in 30 days: Karl Mahler of Roche
IR Magazine has a long history of honoring those men, women and companies around the world that excel at investor relations. In celebration of 30 years of IR Magazine, we selected 30 IR stars that have shone particularly brightly over the past three decades and will be posting one profile each day for 30 days, giving you the gift of an IR advent calendar.  ...
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Dec 12, 2018
Mifid II going global, says research
Mifid II rules on the funding of investment research are changing behavior on a global scale, according to new research. It’s a development that has huge implications for fund houses, banks, brokers and investors globally – and a trend anticipated by IR Magazine more than a year ago. The research – by Liquidnet, a global institutional investment network ...
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Dec 11, 2018
Mifid II experts challenge AMF chairman’s assertions on regulation
Comments made by Robert Ophèle, chairman of French market securities regulator the Autorité des marchés financiers (AMF), on Mifid II have been given short shrift by Mifid II experts.  Ophèle recently warned: ‘Even without Brexit we would have had to look at [Mifid II] again because there are very detrimental effects on research, especially for mid-caps, that’s absolutely clear.’...
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Dec 05, 2018
Adjusting to Mifid II
Andrew Holt talks to EQS CEO Achim Weick about the latest trends involving Mifid II What trends have you seen develop as a result of Mifid II? Mifid II obliges investment companies to separate the costs of additional services like research and the organization of investor meetings and roadshows from the trading of securities. As a result, companies and investors are now questioning whether to allocate budget to these services or take...
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