Securities And Exchange Commission SEC

The Road To MiFID II And PRIIPs Compliance Is Not Without Bumps

It’s now been roughly two months since MiFID II and PRIIP investor protection regulations went into effect, and there is still a lot of sand in the gearbox. For those impacted, it is not (yet) about fines imposed by supervisory authorities, but rather the impeding loss of business and trust resulting from non-compliance. While the heat is presently felt by the distributors, ultimately the manufacturers may pay the price for a continued inability to fully comply with these regulations.

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