MiFID II Compliance

MiFID II, which is set to go live on January 3, 2018, is designed to expand Investor Protection and to improve transparency. To comply with the exhaustive requirements, financial services firms in the EU will be required to change many aspects of their business model, operations, systems, and processes across the front-, middle-, and back-office. While financial services firms in the U.K. are already addressing some of the requirements due to existing regulations such as RDR and Senior Manager Regime, “gold plating” by regulatory bodies is introducing additional requirements that must be considered.

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Compliance With the Suitability and Appropriateness of Advice