Products

Product Governance Self-Assessment Questionnaire

A free annual distributor self-assessment template for EU-regulated investment firms, covering MiFID II product governance arrangements from governance and target market through to Board reporting.Wha

AMLR Article 10 Business-Wide Risk Assessment Workbook

Status note. This workbook reflects regulatory texts that are partly in consultation. The Final Report on the RTS under Article 40(2) AMLD was published by AMLA on 16 December 2025. The draft Guidelin

Market Abuse Compliance Checklist

A practical self-assessment checklist covering the key areas a national competent authority examines in a firm's market abuse prevention framework. Based on the Market Abuse Regulation (EU 596/2014) a

Suitability Assessment Compliance Checklist

A practical self-assessment checklist covering the key areas a national competent authority examines in a firm's suitability framework. Based on MiFID II, Delegated Regulation (EU) 2017/565 and the ES