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Some of the key areas of MiFID II/MiFIR for asset managers to consider

Inducements and payment for research Article 24 of MiFID II prohibits investment firms providing portfolio management services, or investment advice on an independent basis, from accepting fees, commission or any monetary or non-monetary benefits from third parties in relation to the provision of services to clients. This includes research.  Research may only be received if …

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Who does MiFID II apply to?

The MiFID II framework applies not only to investment firms, regulated markets, and credit institutions providing investment services, but also to data reporting service providers (Approved Reporting Mechanisms (ARMs), Approved Publication Arrangements (APAs) and Consolidation Tape Providers (CTPs). Some provisions also apply to other types of entities including central counterparties (CCPs), benchmark providers, members and …

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