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Regulation

Survey Reveals Investment Managers' Greatest Challenge with MiFID II

Jan 31 2018 | 1:09am ET

Close to 50% of investment managers and consultants surveyed at Northern Trust’s annual Regulatory and Depositary conference cited client reporting as the greatest implementation challenge presented by MiFID II.

Amundi Announces Absorption Of MiFID II Research Costs

Dec 15 2017 | 9:04pm ET

Bringing its final decision nearly down to the wire, Paris-based money manager Amundi has announced it will absorb the costs of sell-side and independent research once the EU’s MiFID II regulatory framework comes into effect in January 2018.

Toomey: Carried Interest Likely To Be Addressed In Senate Tax Plan

Nov 10 2017 | 10:13pm ET

The much-maligned tax treatment of carried interest for investment fund managers, currently absent from the Senate’s current tax reform proposal, is likely to be addressed in any final plan, Pennsylvania Republican senator Pat Toomey said on Friday. 

SEC Grants 30-Month Reprieve On MiFID II Research Requirements

Oct 26 2017 | 7:57pm ET

The U.S Securities and Exchange commission has granted a 30-month reprieve to U.S. financial firms from the new research payment requirements set to come into force in early January as part of the EU’s new MiFID II regulations. 

Man Group Reverses MiFID II Research Decision, Will Absorb Costs

Oct 13 2017 | 7:14pm ET

Just a day after RAM Active Investments joined the growing roster of companies who will absorb the cost of external research once the EU’s MiFID II directive comes into effect in January, hedge fund manager Man Group has reversed its earlier decision to pass such costs onto clients. 

RAM Active Investments To Absorb MiFID II Research Costs

Oct 12 2017 | 9:22pm ET

Geneva-based alternative asset manager RAM Active Investments is has joined the larger group of buyside companies that have decided to absorb the costs of external research commissioned on behalf of investors once the EU’s MiFID II rules go into effect early next year.

NYAIR Survey: Industry's Regulatory Environment Here To Stay

Oct 9 2017 | 6:23pm ET

Despite widespread criticism about the post-crisis regulatory environment on Wall Street and broad promises by the Trump administration to roll back onerous rules, a new survey by the New York Alternative Investment Roundtable finds that industry participants don’t foresee any lessening of regulations or oversight.

GSAM Latest Manager To Absorb Research Costs Under MiFID II

Oct 2 2017 | 9:45pm ET

Global investment management giant Goldman Sachs Asset Management has joined the growing number of buyside firms that have decided to shoulder the costs of sell-side and independent research once the EU’s MiFID II rules go into effect in January 2018.

Tilton, Patriarch Win Full Dismissal Of SEC Charges

Sep 27 2017 | 6:27pm ET

An administrative law judge for the U.S. Securities and Exchange Commission has dismissed allegations of fraud against private equity maven Lynn Tilton and her company Patriarch Partners, ending a five-year investigation by the SEC and a case that raised questions about the constitutionality of the Commission's in-house judges.

Reuters: Sale Of Scaramucci's Skybridge Expected To Close By Month-End

Sep 18 2017 | 6:53pm ET

As the dust settles from Anthony Scaramucci’s record-setting tenure as White House Communications Director, the sale of his alternative asset manager Skybridge Capital appears to still be on track.

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