MiFID II has touched a wide range of areas in your business, from policies, remuneration, record keeping to transaction reporting and systems and controls.
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
- Conflicts of Interest
- Inducements and research
- Investor protection
- Management Body requirements
- Product Governance requirements
- Record keeping
- 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