Mifid II  

What are the most recent regulatory reforms?

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Guide to regulatory changes

As the rules are now live, Mr Walton says firms need to make sure they have the following processes in place:

  • A documented process covering each right.
  • Trained their staff to be able to identify a request to exercise a right.
  • Trained appropriate staff on how to process a request to exercise a right.
  • Auditable records to show the training they have given to staff

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