Events Countdown
to MiFID
(November 2006)
The implementation of MiFID
is set to be the most significant upheaval for
financial services in years. Ultimately, everyone
will need to be ready for MiFID but some will
be much better prepared than others with business-led
change programmes and well understood technology
investments that exploit new opportunities.
The MiFID Conduct of Business
provisions are extensive and require changes to
domestic regulatory handbooks and associated client
management business processes and systems. MiFID
introduces a new client classification regime
requiring many firms to amend client documentation.
MiFID also contains 'know your customer' and suitability
requirements which apply when a firm provides
investment advice and associated services. Finally,
MiFID sets out requirements to ensure that clients
are promptly advised of the essential details
of a transaction and receive regular statements.
This well-attended event, held
in November 2006, sought to identify operational
and IT challenges and discover a clear plan of
action to ensure success in the brave new world
of MiFID.
The following presentations
are available to download:
- Assessing
the MiFID Client Management Provisions
(pdf, 753kb)
- MiFID JWG-IT founder
PJ Di Giammarino
- How
to Think and Act Differently to Comply
(pdf, 1.35mb)
- Michael Corrigan, Senior
Manager, Financial Services, Deloitte
- Managing
Client Information - Strategic or Tactical Solutions?
(pdf, 1.44mb)
- Nigel Matthews, EMEA
Business Development Manager, Capital Markets,
Financial Services, Oracle Corporation
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