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In The News

Investment Executive: Firms in the financial sector are investing heavily into compliance measures designed to prevent the kind of misconduct that could lead to costly reputational damage, according to Coalition Greenwich.

Nasdaq: A new study conducted by Coalition Greenwich and sponsored by BNP Paribas Asset Management indicates that DTEC could be in the right place at the right time as nine of 10 wholesale and institutional investors...

Bloomberg: “On the back of strong corporate broking relationships, U.K. banks briefly made headway last year,” said Eric Li, “but 2021 has seen the balance revert to normal, with U.S. underwriters taking the bulk of the winnings from the IPO...

Traders: “The market makers are really setting those prices and very often on exchanges. And that’s a sophisticated risk management exercise,” she said in an in-person interview with Shane Swanson.

FT: “The risk is that if the broker dealers feel they can’t be in compliance based on the interpretation of their internal teams then they might be forced to stop quoting certain bonds to ensure they aren’t out of compliance,” said Kevin...

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