Ensure Compliance

Compliance in PM1

Recognising that many aspects of the client relationship are subject to compliance requirements, PM1 provides a comprehensive compliance framework that is not simply a software component, but integrated through the relevant PM1 components, enabling our clients to comply with all regulatory requirements including MiFID II, FINIG, FIDLEG, & GDPR.

Frequently asked questions

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  • Full coverage of investor protection

  • Target Market definition at product level

  • Suitability & appropriateness process

  • Knowledge & Experience, Risk Profile

  • Financial Situation & Investment Goals

  • Health checks & pre-trade checks

  • Automatic generation of Transaction Reports

  • Partnership with UnaVista

MiFID II

MiFiR

FATCA

GDPR

FinSA

AEoI

CRS

AnaCredit

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