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MiFID II: it’s not too late

Nov 23, 2017

Topics: Compliance | MiFID II |

The MiFID II deadline is fast approaching, and the changes that the directive requires your firm to make are becoming increasingly imminent.

With the countdown clock ticking, Cordium has a range of services that can help financial markets firms address concerns around meeting their obligations.

These include:

  • Impact Analysis Report: we benchmark a firms’ current compliance processes against the MiFID II requirements outlined by the UK FCA where 20 different areas of potential compliance are explored. The final report provides a gap analysis, outlining where the firm will need to implement regulatory change programs to be compliant under MiFID II.
  • MiFID Implementation Delivery Assistance: we can review a firms MiFID II implementation priorities and provide advice on how to improve their program to achieve MiFID II compliance.
  • MiFID II Compliance Infrastructure Collateral: we can supply the manual and policy documents that form the backbone of a firms’ compliance framework, covering areas such as trade reporting, transaction reporting, best execution, product governance and dealing commissions.

Click here to learn more about our MiFID II services.

Contact us to learn how we can help you tackle your MiFID II challenges, or to learn more about Cordium’s governance, risk and compliance services to the asset management and securities industry.