Legal News

The statements surrounding the MiFID II inducements and research reforms

Published on: 10 November 2017
Published by: LexisPSL
  • The statements surrounding the MiFID II inducements and research reforms
  • Original news
  • What are the main points of guidance contained in the Commission’s FAQs on obtaining brokerage and research services from non-EU brokers, and how do they address the concerns of market participants?
  • What do the SEC’s no-action letters say on this matter?
  • US broker dealers
  • US money managers
  • What action should firms take as a result of the Commission’s and SEC’s actions?
  • What advice should lawyers be giving to their clients?

Article summary

Financial Services analysis: Andrew Henderson and Holly Smith, partners at Eversheds Sutherland, unpack the FAQs and other statements from the European Commission (the Commission) and the US Securities and Exchange Commission (SEC) with regards to the Markets in Financial Instruments Directive inducements and research reforms and their interaction with US regulation, explaining that the clarity they provide is helpful, but some issues still remain. or take a trial to read the full analysis.

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