We Can Relieve your MiFID II Headache

MiFID II is a beast. Not only are there detailed new requirements for existing MiFID I registered investment firms, but the increase in scope will mean thousands of new firms will now be required to be MiFID II compliant. Articles 1,2 and 3 of MiFID II as well as the FCA’s interpretation of the same means all algorithmic trading firms and other small investment funds must urgently undertake an end-to-end assessment of their business as go-live is 3 January 2018.

We at Revival FinReg are a team of industry experts who can solve your problem, allowing you to focus on your core business. We are unique in that we have published the best-selling MiFID II book and numerous industry articles. We walk the walk and do not hide behind glossy brochures and press releases!

Please Contact us to obtain our solution pack by clicking here.

 

Some of the broad areas covered by MiFID II:

  • Algorithmic trading firms – staff training, segregation of environments, testing, training, order retention, sign-off, management involvement, kill-switch
  • Investor protection
    • Client categorisation
    • Suitability
    • Appropriateness
  • Record Keeping/Data Retention
  • Best execution
  • Client reporting
  • Portfolio management
  • Transaction reporting
  • OTC Trade Reporting
  • Corporate Governance including management body compliance
  • Investment advice
  • Research unbundling and inducements
  • Product governance (manufacturing and distribution)
  • Commodity Derivatives
  • Collateral
  • FCA Registration

Sell-side brokerages will additionally need to consider:

  • Pre/post trade transparency
  • Trading Venue compliance
  • SI registration

If your firm is involved in any of these broad areas then please contact us for a discussion. An inexpensive starting point might be to have a read of our best-selling MiFID II book to familiarise yourself with the legislation and its ramifications.

Next: Please contact us for a discussion.