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MiFID II: what do the new developments in RIA Record-Keeping Obligations mean for the industry?

There has been a lot of chatter in the industry related to the impacts of the EU’s Marketing in Financial Instruments Directive (MiFID II) on investment managers around the globe which are expected to come into effect in January 2018. While the effects of MiFID II will affect only some US firms, investment managers should still be aware of the impl...

17 October 2017