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Summary
The upcoming expiry of the SEC’s No Action Letter in July 2023 is causing confusion and concern among the investment management community and research providers alike, in particular for MiFID II scope investment management companies invested in the United States.
Speakers
Steven Stone
Partner
Steven W. Stone is a securities lawyer who counsels clients on regulations governing broker-dealers, investment advisers and bank fiduciaries, and pooled investment vehicles.
S&P Global Market Intelligence
Francis Land
Director of Strategy for Research Manager
Francis Land is Director of Strategy for Research Manager at S&P Global Market Intelligence. He has 20 years’ experience in providing research evaluation, commission management and payment solutions to asset management companies and service providers.
Event Support