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

MiFID II

MiFiR

  • Client consent management

  • Data purposes & authorisation

  • Automatic data legitimacy validation

  • Full coverage of right-to-forget

  • Manual & automatic data clean-up

GDPR

  • Full coverage of FATCA data capture 

  • FATCA indicia identification & management

  • Automatic resolving of indicias

  • IRS documentation support (i.e W Forms)

FATCA

FATCA

GDPR

FinSA

  • Client & Mandate classification

  • Suitability & appropriateness process

  • Client documentation of financial services

  • Suitability assessment reports

  • Investment guidelines & pre-trade checks

  • Indicia indentification & life-cycle management

  • Controlling Persons management

  • AEOI classification conflicts

  • Documentation life-cycle (ie.self-certifications)

  • Automatic generation of CRS transaction reports

AEoI

CRS

AnaCredit

  • Full coverage of data capture needs

  • Country based legal forms & national IDs

  • Checks of financial & company info

  • Legal proceedings & company Activities

  • Notification for periodic Anacredit reviews

FinSA

AEoI

CRS

AnaCredit