Browsing: MiFID II

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UK Considers Loosening MiFID II Equity Research Rules

11/30/2022
UK Chancellor of the Exchequer, Jeremy Hunt recently promised a set of regulatory changes by the end of next year that should boost economic growth in London – including in ...

2022 Euro IRP Member Survey: IRPs Remain Concerned over Predatory Pricing from Sell-Side Research Groups

11/28/2022
The recently released 2022 Euro IRP Member Study revealed a number of key findings, including concerns from over 70% of survey participants about predatory pricing from sell-side investment banks regarding ...
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MiFID II: “No matter where you go, there you are!”

11/07/2022
The following guest article was written by Robert Nowicki, a commission management consultant with more than twenty years of experience managing the global commission management divisions of major Wall Street ...
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One MIFID II Payment Solution May Be Risky for Brokers

09/22/2022
Over the past few months, both the buy and sell-side have been discussing various ways to address the SEC’s recent announcement that they will not extend the SIFMA “no action” ...
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Webinar: SEC No Action Relief for MiFID II Clients to End

09/19/2022
Global agency broker, StoneX will be hosting a live webinar featuring three industry experts this Tuesday, September 20th at 11:00 am to discuss the impact of the SEC’s recent announcement ...
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SEC No-Action Letters on MiFID II Won’t Be Extended

07/28/2022
Earlier this week, as part of his prepared remarks at the PLI: Investment Management 2022 conference, William Birdthistle the SEC Director, Division of Investment Management explained that the SEC does ...
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FCA Ends MiFID Research Rules on SME Issuers and IRPs

12/03/2021
The UK’s Financial Conduct Authority (FCA) recently announced that it will scrap MiFID II inducement rules on research for companies with market caps of less than £200 mln, as well ...
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UK Regulators Will Re-Bundle Small Cap and Independent Research

04/30/2021
The UK Financial Conduct Authority (FCA) proposes to go further than its European counterpart in unwinding MiFID II’s unbundling provisions as it adjusts to new Brexit realities.  Although the scope ...
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Europe Must Revise MiFID II to Achieve ESG Ambitions

04/12/2021
The following is a guest article by Neil Scarth, Principal of Frost Consulting (http://www.frostconsulting.co.uk/) which provides customizable research budgeting/valuation frameworks and research spending databases.  MiFID II poses an existential threat to ...
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Europe Re-bundles Small and Mid-Cap Research

11/27/2020
The European Parliament passed legislation allowing investment firms to pay for small and mid-cap research using client commissions, as part of a larger Covid-19 relief package.  The move further isolates ...
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