MiFID II Archives

SEC Senior Leader Highlights Fees, Proxy Voting, Announces End of MiFID II Relief for Research Providers

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

UK FCA Proposes to Permit Re-Bundling for Research Under MiFID II Following Similar EU Changes May 18, 2021 The UK FCA issued a consultation recently to scale back limits...

May 18, 2021

Tags: Commissions, European Commission, International, MiFID II, Research

SEC Extends MiFID II Research Unbundling No-Action Relief from 2020 to 2023

SEC Extends MiFID II Research Unbundling No-Action Relief from 2020 to 2023 November 25, 2019 On November 4, 2019, staff in the SEC’s Division of Investment Management extended for...

November 25, 2019

Tags: No-Action Letter, MiFID II

European Commission Seeks Feedback on Changes to Research Unbundling Rules for Small Companies

European Commission Seeks Feedback on Changes to Research Unbundling Rules for Small Companies March 16, 2020 The European Commission recently published a consultation on MiFID II seeking feedback on...

March 16, 2020

Tags: European Commission, MiFID II, Research

European Commission Publishes Proposed Reversal of Unbundling Requirements for Small and Mid-Sized Companies and Fixed Income Instruments

European Commission Publishes Proposed Reversal of Unbundling Requirements for Small and Mid-Sized Companies and Fixed Income Instruments August 11, 2020 In a welcome move, the European Commission published draft...

August 11, 2020

Tags: MiFID II, Research, Soft Dollars

SEC Investment Management Seeks Feedback on MiFID II’s Impact on Research for Advisers

SEC Investment Management Seeks Feedback on MiFID II’s Impact on Research for Advisers September 23, 2020 The SEC’s Division of Investment Management staff is once again actively seeking feedback...

September 23, 2020

Tags: Dalia Blass, MiFID II, SEC Investment Management

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