MiFID II – Knowledge and Competence – Getting to grips with the new requirements

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After what seems like an age, MiFID II finally came into force on 3rd January 2018. Although far reaching in certain areas, e.g. the need for greater auditability of client interaction and investment decisions, it could be one of the less ‘headline grabbing’ elements that may well have the most far reaching implications for firms. We are all of course aware, MiFID II requires firms engaged in MiFID business to ensure, and be able to…

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Account Director at WorkSmart I am passionate about helping Worksmart's customers develop their alignment with the FCA's regulation and guidance on best practice. Hot topics on customers'​ agendas at the moment are complying with the new rules on Strengthening Accountability in Banking (IAR) and the developing a response to the FCA's focus on T&C and QA for all customer facing staff including sensitive communities like complaints handlers and recoveries teams.

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