Programme Management

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SME Assistance

Why not utilise the experience we have gained through a specific focus on the MiFID regulations?

You may need some assistance to ensure that your MiFID programme has been successfully implemented. We can offer guidance and SME assistance to make sure you stay on the right side of the regulations. Through our hands on experience of the various directives and their practical interpretation and application, we are in a unique position to add value to your business.

 

MiFID II has impacted

  • 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…

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