The issue of how firms should pay for investment research continues to be a controversial topic in the financial markets. The U.S. has maintained the approach it adopted before the mid-2000s, which is ...
On July 3, 2023, the U.S. Securities and Exchange Commission (the “SEC”) let expire a long-standing Division of Investment Management temporary no-action letter under the Investment Advisers Act of ...
We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
In Europe, the second Markets in Financial Instruments Directive and Regulation (MiFID II/MiFIR) have been with us since January 2018. In the preceding months, market participants completed multi-year ...
We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
There have been many changes within the economic landscape in Europe and the United Kingdom since the first agreement that launched the Markets in Financial Derivatives (MiFID) protocols in 2007 were ...
The UK’s Financial Conduct Authority (FCA) is hoping to publish the long-awaited conclusions of its review into the implementation of the EU’s Markets in Financial Instruments Directive (Mifid II) ...
The second Markets in Financial Instruments Directive (MiFID II) research unbundling rules are working well for investors, according to the Financial Conduct Authority (FCA). After conducting research ...
The House on Tuesday passed a bill to codify now-expired guidance from the Securities and Exchange Commission allowing U.S. broker-dealers to receive separate payments for research without being ...
New research payment unbundling rules under the second Markets in Financial Instruments Directive (MiFID II) could mean large investment banks will miss out on research budgets, according to a survey ...
A survey last year found more than three-quarters (77 per cent) of pension schemes feel they do not necessarily have the operational infrastructure in place to accommodate change, such as the ...
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