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Internal Organizational and Governance Requirements

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Reference no: EM132435927

European Securities and Markets Authority's (ESMA) MiFID II requires full implementation by January 2018. This regulation is wide reaching and covers aspects of conduct, market abuse protections, and trade transparency. MiFID II aims to level the regulatory playing field within the European Union's (EU) single market. However, firms registered in ‘third countries' will be able to access the single market where the principle of equivalence has been established by ESMA and approved by the European Commission.

A. What are the top 5 challenges facing financial firms in compliance with MiFID II?

B. How is the impact of MiFID II determined on US Asset Managers?

C. How does MiFID II effect US Asset Managers Trading European Equities, Fixed Income or Derivative Instruments?

D. How does MiFID II impact US Asset Managers Providing Sub-Advisory Services?

E. How does MiFID II impact US Asset Managers Marketing Cross-Border Products and Services to European Clients?

a. Retail Clients

b. Professional Clients

F. How does MiFID II impact US Asset Managers that wish to offer alternative investment funds or Offering UCITS Funds?

G. How does MiFID II impact a US Manager with a EU Subsidiary for Marketing Only

H. What are the Internal Organizational and Governance Requirements?

Attachment:- MiFID II.rar

Reference no: EM132435927

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