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MiFID II

MiFID II

MiFID II increases the demands on financial service providers in order to enhance investor protection and increase transparency. The regulation concerns topics such as product governance, client classification, suitability & appropriateness in the advisory process, transparency on costs and charges (incl. inducements), trading, and records management.

Client benefits

  • Increased suitability & product governance standards ensure that clients invest only in financial instruments that fit their needs.
  • Minimising legal and process risk (incl. reputational risk) for financial institutions serving EEA-domiciled clients.

finalix contribution

  • Implementation of the MiFID II requirements for a major Swiss universal bank, a Swiss cantonal bank, and private banks.
  • Functional expertise through business analyses and implementation leads in various topics of the advisory process (e.g. client classification, suitability & appropriateness, product governance (incl. target market), costs & charges, client reporting).

Our experts

Christian Ullrich
Senior Manager

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