EC/FCA/SEC: Guidance on obtaining brokerage and research services from non-EU brokers
26 Oct 2017 (UPDATED: 13 Mar 2026)
International
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.