Author Description

Get the detailed analysis, practical guidance, and primary source reference materials you need with Soft Dollars, MiFID II and Other Trading Activities. This book addresses the legal, regulatory, and other issues faced by all participants in soft dollar arrangements, including money managers, mutual funds, ERISA pension plans, research providers, and financial institutions. Other topics covered include: SEC positions Enforcement actions Industry developments The responsibilities of mutual fund directors Helpful diagrams are also provided for easy reference.