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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

Andreas Kropf 1
Christian Ullrich 1
Senior Manager

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