Example: MiFID II / MiFIR implementation

Projects in the environment of MiFID II / MiFIR, regardless of whether existing activities are to be changed or new business areas opened up, are co-determined by a wealth of regulatory requirements from MiFID II / MiFIR and their compliance should be ensured as early as possible during implementation. I provide project support and help to ensure that compliance requirements are addressed in good time so that the project is not delayed shortly before acceptance by expensive and time-consuming improvements. I know about the regulatory risks and address them. I know the scope for manoeuvre and help to make use of it.

Typical tasks in the project:

• Examination of the Target Operating Model (TOM) with regard to compliance-relevant issues.
• Advising the project team on the implementation of regulatory requirements.
• Inclusion of best practice, regulatory comments and expert opinions.
• Review of existing work instructions and recommendations for extensions.
• Participation in the relevant team meetings, on request assumption of the sub-project management for the Compliance department.
• On request, implementation of selective training courses.
• Checking the embedding of the processes in existing structures and normal operation.
• Reporting of the project progress to the project management.