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Webinar Replays

The SEC No Action Letter: Where Are We Now?

Date:
Wednesday, March 22, 2023
Location:
On-Demand
Duration:
60 minutes

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.

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Speakers

S&P Global Contributor
Steven W. Stone is a securities lawyer who counsels clients on regulations governing broker-dealers, investment advisers and bank fiduciaries, and pooled investment vehicles. Full Bio
S&P Global Contributor
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. Full Bio

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