MARketing Investment Research in a post-MIFID II World


Dec 8, 2016
by Indy Sarker

Regulatory changes in European financial markets are driving significant shift in ways banks and brokers engage their clients (we refer here to the Asset Manager clients). Some of the changes, particularly around Market Abuse Regulation (MAR) is being brought about to ensure the marketing of financial products (and investment advice) is objective while providing a boost to investor confidence and protection. As a broker-dealer providing investment research and advice – Are you ready for the new regime?

Implementation of MAR has consequences for firms transacting business and providing investment research as a service to their clients. While some may view these regulation induced changes to be Euro-centric and therefore of little consequence elsewhere, we believe the implications could be far-reaching and could be adopted as best practice by many firms, and their internal compliance organization.