Webinar
MiFID II Implementation for U.S. Investment Managers
Listen to Recording (CLE/CPD Credit Available)
MiFID II is a pan-European regulatory regime taking effect in January 2018. Significant new obligations directly impact U.S. fund managers with a European affiliate. In addition, MiFID II could indirectly impact U.S. fund managers in a number of ways, including (i) managers with European managed accounts, (ii) managers dealing in European Securities or dealing with European Counterparties, (iii) managers dealing in instruments that reference European securities, or (iv) managers that distribute funds in Europe. MiFID II compliance requires immediate assessment and planning.
Topics include:
- Key objectives of MiFID
- Key areas of reform
- Particular fact patterns
- How MiFID II will influence the business of U.S. managers that are not MiFID-licensed
- The treatment of unbundling and RPAs on MiFID firms that are subject to U.S. securities laws
- Operational challenges and practical solutions for global managers