MiFID II Compliance
Practical support to meet MiFID II and MiFIR obligations. We map requirements to controls across product governance, suitability and appropriateness, client categorisation, costs and charges, best execution and order handling, transaction and trade reporting and communications recording. We prepare evidence packs that stand up to audit and supervisory review.
MiFID spans trading systems and surveillance. We align with voice capture for Teams Phone, trader voice and mobile, secure communications and logs with cyber and streamline vendor dependencies through strategic consultancy.
What We Deliver
Regulatory gap assessment and control mapping.
Policies and procedures for product governance, suitability and client categorisation.
Costs and charges disclosures ex-ante and ex-post with MI to evidence outcomes.
Best execution and order handling policy, monitoring and board reporting.
Transaction and trade reporting operating model with ARM/APA oversight.
Communications recording for voice, IM and email with retention and retrieval.
Why Crestwave
No bureaucracy for its own sake — just clear controls, ownership and evidence. Our templates, registers and playbooks make it simple to prove compliance and close actions with confidence.
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