Intelligent compliance for outcomes that matter

27/09/17

MiFID II Recording Requirements – The Main Challenges

We examine why firms must be prepared for a number of process changes no matter whether they choose the FCA's option of recording conversations or taking written notes.

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Intelligent compliance for outcomes that matter

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MiFID II Recording Requirements – The Main Challenges

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Latest Insights

Q&A part 5: How can firms keep their ongoing advice services compliant?

Q&A part 4: How do the review findings relate to the Consumer Duty?

Q&A part 3: How should firms be considering quality and suitability of advice?

Q&A part 2: What should firms do about disengaged clients?