MiFID II Health Check

MiFID II has touched a wide range of areas in your business, from policies, remuneration, record keeping to transaction reporting and systems and controls.

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Frami Consultancy Limited

MiFID II Health Check

Whether you are a fully regulated firm or have exemptions under Article 3, MiFID II will have had an impact on your business from best execution, new expectations of your management body, new requirements relating to the skills and knowledge of your teams to record keeping and call recording.

Also, a number of your current policies will have needed updating as there are changes that impact conflicts of interest, product governance, complaints, suitability and so on.

If you want your policies reviewed, have a particular area where you want to focus on specifically, or whether you want an independent view on the work you have done already, we can help you.

Bespoke Service

We have the flexibility to help you in any way that meets your needs and requirements. What this looks like depends on you.

If you just want the comfort of running your business changes by an independent team, then we can utilise our experience to help you gain that extra degree of confidence.

The ‘Health Check’ can be as narrow or broad as you like and will be tailored to your requirements.

MiFID II Touches

  • Best execution
  • Business policies
  • Call recording
  • Complaints
  • Compliance
  • Conflicts of Interest
  • Inducements and research
  • Investor protection
  • Management Body requirements
  • Outsourcing
  • Product Governance requirements
  • Record keeping
  • Remuneration
  • Risk Management
  • Skills, knowledge and experience of colleagues/Board
  • System and Controls
  • Transaction reporting
  • And more…

...utilise our experience to help you gain that extra degree of confidence.

Liam Molloy, Frami Consultancy

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