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Soft Dollars, MiFID II and Other Trading Activities, 2020 ed. (Securities Law Handbook Series)

Product details:

Format: Book - softbound
Brand: LegalWorks
Copyright: 2020
ISBN: 9781539234791
Service #: 32000020
Sub #: 32000022
Pages: 804
Shelf Space: 2 in.
Publication Frequency: Updated as changes in the law dictate
Update format: No updating

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Soft Dollars, MiFID II and Other Trading Activities, 2020 ed. (Securities Law Handbook Series)



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Get the detailed analysis, practical guidance, and primary source reference materials you need with Soft Dollars, MiFID II and Other Trading Activities. This book addresses the legal, regulatory, and other issues faced by all participants in soft dollar arrangements, including money managers, mutual funds, ERISA pension plans, research providers, and financial institutions. Other topics covered include:

  • SEC positions
  • Enforcement actions
  • Industry developments
  • The responsibilities of mutual fund directors

Helpful diagrams are also provided for easy reference.