SEC takes some pain out of cross-border MiFID II compliance

By Joe Mont2017-10-26T11:00:00

New no-action letters from the SEC allow U.S. broker-dealers and money managers more time to prepare for new European regulations and MiFID II's demand for unbundled research.

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The compliance challenges of cross-border deals

2018-06-13T15:15:00Z By Joe Mont

We recently spoke to Ricardo Garcia-Moreno, a partner with Haynes & Boone, about the opportunities, challenges, and compliance concerns that come with cross-border deals.
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MiFID II, CAT, and the new reality of time

2017-12-04T13:45:00Z By David Murray

The Markets in Financial Instruments Directive and the Consolidated Audit Trail will be vital tools for regulating a financial sector increasingly moving at speeds too fast to follow.
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ESMA takes aim at U.S. banks with new MiFID II directive

2017-11-21T11:45:00Z By David Ackerman

The expansion of the scope under MiFID II will make it far likelier for market participants to be caught within EU regulators’ crosshairs without even realizing it. Some tips for avoiding that fate are inside.

“For tracking litigation, enforcement, and regulatory developments, Compliance Weekshould be your prime source.”

SEC takes some pain out of cross-border MiFID II compliance

THIS IS MEMBERS-ONLY CONTENT

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“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”