The Markets in Financial Directive (MiFID) is a European Union law that provides harmonized regulation for investment services across the 31 member states of the European Economic Area (the 28 EU ...

A main driver for the recently announced MiFID II compliance rules was European Regulators saw unfairness in the practice of asset managers using soft dollars in their fees for research purposes.

The second Markets in Financial Instruments Directive (MiFID II) has now become effective as a part of EU legislation. MiFID II regulates firms that provide any services to clients linked to financial ...

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 ...

The second Markets in Financial Instruments Directive (MiFID II) has “largely been successful across most parts of the market and the industry has bent over backwards to implement reforms, despite ...

An EU Commission Delegated Regulation (2021/1833) on the criteria for when an activity will be considered as ancillary to the main business has been published in the Official Journal of the European ...

The Securities and Exchange Commission's guidance allowing U.S. broker-dealers to receive separate payments for research without being subjected to regulation as investment advisers has expired, and ...

Electronification and regulations such as Mifid II that touch upon the fixed-income trading space may be attempting to mirror the equities model but cannot succeed due to specific differences between ...

Greenwich, Conn.-based Indata launched the iPM Epic platform in 2014 and claims to have made 350 alterations to the system ahead of the incoming Mifid II regulation in Europe, with specific focus on ...

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 ...

The Markets in Financial Instruments Directive (“MiFID II”), which came into effect on 3 January 2018, is a European legislation, consisting of two parts, the MiFID II directive (2014/65/EU) and the ...