Markdown Editor
Open the editor

MiFID Investment Firm Kit

Client risk profile, suitability report, target market assessment, best execution, conflicts register, SFDR PAI statement, stewardship report and portfolio review.

Step 1

Discovery

  1. Client Risk Profile Template (MiFID II Suitability, Reg BI)

    Full

    Fact-find and risk profiling: classification, finances, goals, knowledge, risk tolerance vs capacity for loss, sustainability preferences, model mapping

    MiFID II Art. 25(2); Delegated Reg (EU) 2017/565 Art. 54-55; SEC Reg BI
Step 2

Decisions

  1. MiFID II Suitability Report Template (Art. 25(6), Del. Reg 2017/565 Art. 54)

    Full

    Retail suitability statement: profile used, recommendation, reasons, sustainability, risks, costs, switching, review, inducements, delivery, checklist

    MiFID II Art. 25(2), 25(6), 29a; Delegated Reg (EU) 2017/565 Art. 50, 52, 54 (as amended by 2021/1253); ESMA35-43-3172

  2. MiFID II Target Market Assessment Template (Product Governance)

    Full

    Product governance record: firm role, product, five-category target market, negative target market, distribution, scenarios, charges, conflicts, feedback

    MiFID II Art. 16(3), 16a, 24(2); Delegated Dir (EU) 2017/593 Art. 9-10 (as amended by 2021/1269); ESMA35-43-3448
Step 3

Policies

  1. Best Execution Policy Template (MiFID II Art. 27, Delegated Reg 2026/825, SEC)

    Full

    Order execution policy: factor ranking by class, venue and broker list, routing, allocation, instructions, OTC price checks, PFOF ban, TCA thresholds, review

    MiFID II Art. 27 (as amended by 2024/790); MiFIR Art. 39a; Delegated Reg (EU) 2017/565 Art. 64-70; Delegated Reg (EU) 2026/825; SEC IA-5248

  2. Conflicts of Interest Policy and Register Template (MiFID II, SEC)

    Full

    Conflicts policy, governance RACI, identification triggers, Art. 33 criteria, L x I rating, register, controls, last-resort disclosure, inducements, breaches, MI

    MiFID II Art. 23; Delegated Reg (EU) 2017/565 Art. 33-35; AIFMD Art. 14; SEC Advisers Act s.206
Step 4

Disclosure and advisories

  1. SFDR Principal Adverse Impacts Statement Template (EU 2022/1288 Annex I)

    Full

    SFDR Article 4 entity PAI statement: applicability, summary, Table 1 indicators 1-18, Table 2/3 picks, actions, policies, engagement, history, data controls

    SFDR (EU) 2019/2088 Art. 4; Delegated Reg (EU) 2022/1288 Annex I

  2. Stewardship Report Template (UK Stewardship Code 2026, SRD II)

    Full

    Scope and frameworks, context changes, integration examples, market-wide risks, engagement stats and cases, escalation, voting summary and significant votes, oversight, conflicts, index

    UK Stewardship Code 2026 (Principles 1-6, names only); SRD II Art. 3g(1)(b)
Step 5

Well-Architected review

  1. Client Portfolio Review Template (MiFID II Periodic Report)

    Full

    Periodic client report and review: holdings, transactions, TWR vs benchmark, IPS ranges, ex-post costs, cost effect, 10% loss alerts, goals, suitability

    Delegated Reg (EU) 2017/565 Art. 50, 54, 60, 62, 63; SEC Rule 206(4)-2