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MiFID 투자회사 키트

고객 위험 프로필, 적합성 보고서, 목표시장 평가, 최선집행, 이해상충 등록부, SFDR PAI 성명서, 스튜어드십 보고서, 포트폴리오 검토.

1단계

디스커버리

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

    전체

    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
2단계

의사결정

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

    전체

    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)

    전체

    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
3단계

정책

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

    전체

    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)

    전체

    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
4단계

공개와 보안 권고

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

    전체

    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)

    전체

    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)
5단계

Well-Architected 검토

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

    전체

    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