Open navigation
Search
Search
All expertise
Explore our breadth of expertise.
International Desks
Helping you access overseas markets with support from our country and region-specific experts
Sectors View all
Practice Areas View all
Offices
Discover the scope of our presence in the jurisdiction.
Global Reach
Learn about our capabilities beyond borders.
CMS United Kingdom
All insights
Leverage our expert analysis, intelligence and thought leadership for your strategic advantage.
Personalised updates
Receive tailored insights and intelligence that apply directly to your business.
Topics in focus View all
Insights by type
CMS Spotlight: join our events and webinars!
CMS News
Stay up to date with our growth, evolution and our many successes.
CMS Press Office
Contact us
For all general enquiries.
About CMS
CMS Careers

Select your region

International Europe Africa Asia-Pacific The Americas Middle East
Regulatory News

EC/FCA/SEC: Guidance on obtaining brokerage and research services from non-EU brokers

26 Oct 2017 (UPDATED: 13 Mar 2026) United Kingdom 1 min read

The EC has issued guidance in the form of an FAQ to clarify how EU investment firms should interact when they seek out brokerage and research services from broker-dealers in non-EU countries. FCA and SEC have published statements on the matter.


For more information

Last updated · 13 Mar 2026
More insights
Banking & Finance Financial Services & Regulation Asset Based Financing Funds

Regulatory News - Banking & Finance

See all
See all
Back to top Back to top
You will now find all Law-Now content on CMS.law
Explore more
If you want to use third party tools, please enable personalisation cookies as part of your cookie preferences. You can change this setting at any time via the button below or in our Cookie Notice.