Asset Management Regulatory Roundup - November 2017, Issue 9

November 10, 2017

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details on SEC’s no action letters and Commission’s FAQs on “hard dollar” research payments under MiFID II, ESAs’ recurring reports on cost and performance of PRIIPs; competition in the asset management industry: the FCA sets out its stall; and FCA’s report on its regulatory sandbox.

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