Readiness Checklist

 

  1. Do you have user suitability assessment procedures and risk classification systems in place?

  2. Have you ensured that all your trading activities are clock synchronized?

  3. Are you ready to provide all the required documentation to your clients before they make an investment decision?

  4. Have you formalized supplementary procedures and data requirements when placing orders on behalf of clients?

  5. Do you have the procedures to create the required audit trails in areas such as PRIIPs KID and order activities?

Make sure that you have the proper tools in order to handle the regulatory changes in the market structures. Infront’s Professional Terminal and trading solutions are ready to support compliance requirements in a post-MiFID II world.

Client Classification

Classify trading users into a user category fit for that individual user's knowledge and experience

Clock Synchronization

Ensure full and transparent traceability of order audit trails originating from Infront

PRIIPs: Key Information Document (KID)

A Key Information Document is produced for all products which are deemed as a Packaged Retail Investment and Insurance Product.

Transaction Reporting

A fully customizable feature, allowing brokers to have a tailor made setup when entering orders on behalf of clients, such as Client Identifier, Order Originator, Decision Maker, Short Selling etc.

We are here to help

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contact@infrontfinance.com

London +44 (0) 20 3829 5031

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