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Summary

MiFID II is a piece of European Union (EU) regulation due to be implemented in January 2018. In this white paper, Ovum analyzes some of the key implications for retail financial services, looking particularly at enhanced requirements around record-keeping and how technology can help firms achieve compliance in this respect.

MiFID II: Its Impact on Retail Financial Services, and How to Comply

Key messages

  • From a retail perspective, MiFID II seeks to further ensure firms always act in the best interest of their clients
  • Data requirements for order and processing record-keeping have been extended
  • Recording of client communications is mandatory across all channels in MiFID II
  • How can technology help firms achieve MiFID II compliance?
MiFID

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