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MiFID II Investor Protection and Conduct Evidence & Implementation Kit

$249.00
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MiFID II Investor Protection and Conduct · Investment-services conduct, made adopt-ready · Evidence & Implementation Kit
Meet MiFID II (Directive 2014/65/EU), without decoding the directive yourself.
Every requirement handed to you as an adopt-ready control, scope and client categorisation through product governance, conduct and disclosure to suitability, best execution, transaction reporting and record-keeping, with the evidence your competent authority examines.
Ready in a weekend, not a quarter.

Here is the honest situation. MiFID II (Directive 2014/65/EU) governs investment services in the EU. It requires authorisation, client categorisation, organisational and governance requirements, conflicts of interest management, product governance, fair and clear communications, full costs and charges disclosure, inducement controls, suitability and appropriateness assessments, best execution, transaction reporting, communications recording, client asset protection and staff competence. A firm with legacy conduct policies but no MiFID II-grade evidence is exactly where organizations fall short under supervision.

This Kit removes the guesswork. It is MiFID II (Directive 2014/65/EU) written as adopt-ready controls you personalize in a weekend, with the evidence your competent authority examines.

What you get, the moment you buy

18
Requirements as adopt-ready controls. Every requirement, written so you personalize and apply it.
18
Evidence-they-examine checklists. For each control, exactly what your competent authority examines, plus where organizations fall short, so you close the gap first.
1
Control Matrix, pre-built. Every requirement in a working spreadsheet, ready to record status, owner and evidence location.
1
Gap & Readiness Assessment. Score each requirement and the workbook returns your readiness as a single percentage, and exactly what to fix next.

Grounded in MiFID II (Directive 2014/65/EU). Editable Word and Excel files.

Supervisors examine against MiFID II
Generic conduct policies are not MiFID II. This Kit builds its requirements into controls with the evidence your competent authority asks for.

What one control looks like

This is the opening control, where the program begins. All 18 are built to this depth.

MID-1 Confirm scope and authorisation SCOPE
Put this control in place

Determine and document which of [your organization name]'s activities are MiFID II investment services or activities, and confirm it holds the necessary authorisation and permissions, so scope is clear and the organization can evidence its status.

Directive note.

MiFID II (Directive 2014/65/EU) governs investment services and activities and requires firms to be authorised for the services they provide.

Evidence your competent authority examines
  • A MiFID II scope assessment
  • Authorisation and permissions confirmed
  • Records of the determination
Common finding they raise: Investment services are provided without confirming MiFID II scope and authorisation.

Why this is not another template pack

  • The evidence is the point. A requirement you cannot evidence is a gap waiting to be found. This tells you what your competent authority examines and where organizations fall short, for every requirement.
  • The specifics built in. The directive's distinctive requirements are written into the controls, not left generic.
  • Built on a mapped compliance corpus, not one person's opinion, from a graph of thousands of controls across standards.
  • It compounds. This work shares its shape with related security and safety frameworks, so it feeds your wider program.

Who buys this

Investment firms, banks and wealth managers and their compliance, legal and front-office teams. Whether it is a first alignment or a supervisory-readiness pass, you save weeks and walk in with your client categorisation, suitability, best execution, costs disclosure and reporting controls structured.

By the end of the weekend you will have
✓  An adopt-ready control for all 18 requirements
✓  A completed control matrix
✓  The evidence your competent authority examines
✓  Your core controls in place
✓  A readiness percentage and a fix list
✓  The highest-risk gaps closed

Common questions

Is it really editable? Yes. Word and Excel files you own and adapt. No portal, no subscription.

Does it cover best execution and suitability? Yes. Best execution, suitability and appropriateness are each built as controls with the evidence expected.

Does it cover costs and inducements? Yes. Full costs and charges disclosure and inducement controls are built as controls.

What if it is not for me? A 30-day money-back guarantee.

Do not face your competent authority with requirements you cannot show.
Every requirement is fast to adopt with the Kit. It is instant, and it is guaranteed.
Add it to your cart and be ready this weekend.

Instant digital download · 30-day money-back guarantee · The Art of Service Pty Ltd, GPO Box 2673, Brisbane QLD 4001 · support@theartofservice.com

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