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MiFID II Services

We have identified key MiFID II requirements and created a set of questions that focus on the main implementation activities. The questions give you a chance to review how you are doing and if there are any areas that need further work. If further work is needed then we can support you by assessing your current progress in more detail and providing you with a plan of action.

The MiFID II health check tool is split into two stages. The first stage involves a discussion with key members of your firm. Each area has a standard set of questions covering activities that are relevant to all the subjects, such as updating procedures or ensuring relevant staff are aware of the changes. Additional questions will focus on key aspects relevant to the specific subject.

The second stage is a more detailed analysis of those areas where further work has been identified based on outcomes from the first stage discussion. Thistle will work with you to review against the FCA rules and identify specific gaps.

Areas that we typically focus on include best execution, RTS 28, RTS 27, costs & charges disclosures, inducements, investment management reporting, advisory reporting, transaction & trade reporting, suitability & appropriateness.

At the end of the process, you will receive the outcomes of stage 1 and 2 and a prioritised action plan that will help focus your MiFID II implementation. We can also provide further support to help you implement your action plan.

Contact our specialist MiFID II Services team today on 0207 436 0630 or email info@thistleinitiatives.co.uk.


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