Financial Compliance: Why Written Notes No Longer Serve as Evidence

Banks that get this right will steal a march from competitors

The new MiFID II regulation, which came into force in the EU in January 2018 to protect investors, no longer required recorded video footage of face-to-face meetings to ensure compliance in the financial industry. Instead, it was stipulated that notes must be made after the meetings in order to “capture all content-related points that were addressed in the relevant conversation and that provide an essential context and color for the decision of the …

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