Broker, Bulge Bracket and Investment Manager

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Broker

Bulge Bracket

Investment Manager

Challenges for the buy-side and research providers become a reality as SEC allows ‘no-action’ research letter to lapse

The TRADE

JULY 3, 2023

To resolve the disconnect in approaches, in its 2017 no-action letter to SIFMA, the SEC advised that it would not recommend enforcement action to broker-dealers accepting cash payments for research from investment managers which are required by Mifid II to pay for research from its own money as opposed to client commissions or ‘soft dollars’.

Bulge Bracket

Bulge Bracket Asset Management Broker Trading

Trading at the frontier

The TRADE

OCTOBER 9, 2024

The active investment manager specialises in emerging and frontier markets trading across fixed income, credit and specialist equities. Due to lower demand, bulge brackets will sometimes not cater for the particulars of what frontier traders are looking to execute. “Say

Trading

Trading Bulge Bracket Asset Management Bank

Investment Banking Today

Challenges for the buy-side and research providers become a reality as SEC allows ‘no-action’ research letter to lapse

Trading at the frontier

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