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We can support you throughout your MiFID II compliance journey
With MiFID II now in force since 3 January 2018, it is important to be ready and prepared for the upcoming on-site visits from the national competent authorities (NCA). Our team of specialists and our MiFID II taskforce can support you from the inception of your MiFID II project through to the implementation, and further on to the preparation and follow up of the NCA on-site visit.
|Regulatory health check
Assess the impacts of the regulation on your organizational and operational set-up and identify the potential gaps/improvements
Assess priorities and strategic decisions, prepare an implementation roadmap, conduct detailed analyses, define business requirements
Prepare your remediation plan, i.e., describe your current status and planning for the remediation of the open items
|On-site visit preparation
Prepare the presentation document to be submitted to the NCA, simulate the NCA on-site visit in order to highlight the potential gaps/ improvements, or assist in answering to NCA observations
|Internal control framework
Assess/review/design the internal control framework of the organization (e.g. three lines of defence model)
|Policies and procedures
Draft/review and adapt your policies and procedures in light of the application regulation
Be up-to-date with the regulatory changes that directly or indirectly affect your organization through Kaleidoscope, our regulatory watch service
|EMT Assembly & Dissemination
Disclose the Target Markets and the Costs and Charges of investment funds, to ensure continuation and expansion of their distribution
|PRIIPs/MiFID II Transaction costs compilation
Ex-ante and Ex-post compilation of explicit and implicit transaction costs adjusted by anti-dilution proceeds. Implicit methodology used is new PRIIPs methodology as per Art. 21 to 23 of the PRIIPs regulation Annex VI.