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Bộ mẫu công ty đầu tư MiFID

Hồ sơ rủi ro khách hàng, báo cáo phù hợp, đánh giá thị trường mục tiêu, thực hiện tốt nhất, sổ xung đột lợi ích, tuyên bố SFDR PAI, báo cáo stewardship và rà soát danh mục.

Bước 1

Khảo sát

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

    Đầy đủ

    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
Bước 2

Quyết định

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

    Đầy đủ

    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)

    Đầy đủ

    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
Bước 3

Chính sách

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

    Đầy đủ

    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)

    Đầy đủ

    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
Bước 4

Công bố và thông báo bảo mật

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

    Đầy đủ

    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)

    Đầy đủ

    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)
Bước 5

Đánh giá Well-Architected

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

    Đầy đủ

    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