SEC’s Birdthistle discusses fees, proxy voting, money market fund reform, and LIBOR, announces expiration of no-action position related to MiFID II.
August 02, 2022
Tags: Libor, MiFID II, Money Market Fund, Private Funds
UK FCA Proposes to Permit Re-Bundling for Research Under MiFID II Following Similar EU Changes
The UK FCA issued a consultation recently to scale back limits on the use of commissions to pay for research under MiFID II.
May 18, 2021
Tags: Commissions, European Commission, International, MiFID II, Research
SEC Investment Management Seeks Feedback on MiFID II’s Impact on Research for Advisers
The SEC’s Division of Investment Management staff is once again actively seeking feedback from asset managers on a number of questions regarding MiFID II and payments for research.
September 23, 2020
In a welcome move, the European Commission published draft legislation on July 24 to reverse requirements under MiFID II to unbundle research from commissions for small and mid-cap companies and fixed income instruments.
August 11, 2020
Tags: MiFID II, Research, Soft Dollars
European Commission Seeks Feedback on Changes to Research Unbundling Rules for Small Companies
The European Commission recently published a consultation on MiFID II seeking feedback on research unbundling rules and the effect on small and medium-size enterprises (SMEs).
March 16, 2020
Tags: European Commission, MiFID II, Research
SEC Extends MiFID II Research Unbundling No-Action Relief from 2020 to 2023
The IAA is working on a letter to the SEC on the impact of the no-action letter, especially on advisers that are not themselves subject to MiFID II.
November 25, 2019
Tags: No-Action Letter, MiFID II