Achim Döser

King & Spalding

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Marketing Funds in the EU: French Enforcement on Reverse Solicitation

Regulator Takes Strict Approach - Managers seeking to rely on reverse solicitation by EU investors should take note of last year’s enforcement action by the French regulator. The enforcement action, while confirming that...more

9/14/2023 / Alternative Investment Fund Managers Directive (AIFMD) , Enforcement , EU , European Securities and Markets Authority (ESMA) , France , Investment Adviser , Investors , Solicitation

Broker-Dealer Research: MiFID-Related "Hard Dollar" SEC Investment Adviser Status Relief to End in July 2023

The EU Markets in Financial Instruments Directive II (“MiFID II”), which came into effect on January 3, 2018, raised concerns that U.S. broker-dealers that would receive “hard dollars” for research from firms subject to MiFID...more

8/26/2022 / Broker-Dealer , Compensation , EU , Exclusions , Investment Adviser , Investment Advisers Act of 1940 , MiFID , MiFID II , Securities and Exchange Commission (SEC)

MiFID II und Nachhaltigkeitspräferenzen – ESG-Vorgaben für den Fondsvertrieb

ESG geht auch an der Vertriebsregulierung nach MiFID II (Richtlinie 2014/65/EU) nicht spurlos vorbei: Die delegierten Rechtsakte zur MiFID II (Delegierte VO (EU) 2017/565 und Delegierte Richtlinie (EU) 2017/593) werden um...more

6/9/2021 / Disclosure Requirements , Environmental Social & Governance (ESG) , EU , European Commission , Investment , Investment Adviser , MiFID II , SFDR , Sustainability

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