MIFID II ASSESSMENT
How can you prepare yourself as an external asset manager for the imminent changes in order to continue providing services for your clients successfully?
We support you to set a course for the future at an early stage, in order to tackle the challenges ahead in a self-confident and targeted manner. The assessment phase consists of two steps: a “Self Assessment” and an “Evaluation Meeting with the EAM”. Of course, we are also happy to support you in implementing any necessary measures.
Objective and scope
This Self Assessment is used to determine the position of your company in connection with the investor protection provisions of MiFID II. It is restricted to the services of portfolio management and investment advisory. It does not include the management of collective investment schemes according to UCITS and AIFMD.
The following topics are covered by around 40 questions, which are organized along the service chain in the care of retail customers (private customers):
- Corporate Governance;
- Onboarding of clients;
- Investment advisory and portfolio management activities;
- Execution & Reporting.
You can easily click through the self assessment questions on your computer. Answering the questions takes approximately 30 to 45 minutes. In the course of an evaluation session of approximately two hours, we will present you the ideal status under MiFID II, show you your potential need for action per topic area and discuss possible implementation options with you.
In order to evaluate the possible impact on your company as best as possible, we need not only information on the above-listed topics, but also some information about your business model, such as the proportion of customers based in the European area and their percentage of the AuM.
CHF 2'500.- excl. VAT and possible travel expenses
The data sent to us will, of course, be treated absolutely confidentially. These are used exclusively in connection with the preparation of the Evaluation Meeting for your company.