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One Year Left to Run on Critical No-Action Letters for Investment Managers

Jul 18th, 2019 | Filed under: Newly Added, Risk management, Business News, The A.I. Industry, Risk Management Strategies & Processes

The Securities and Exchange Commission issued three no-action letters on the issue of research payments, in light of developments on that issue in Europe in 2017. Specifically, they dealt with the cross-border of Europe’s rules (MiFID II), which were scheduled to take effect, and which did take effect, on Jan.Read More