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Regulatory details in Enrich stage

Updated on September 29, 2022

In the ‘Regulatory details’ step within the Enrich stage, the user (who, depending on the financial institution’s Target Operating Model, can be for example the back-office department responsible for performing due diligence on the customer, or the Relationship Manager or a Mid-office employee) has the option to indicate whether the financial instrument(s) selected as a product falls within the MiFID list of services and activities.

For customers being an entity, the user also can indicate the relevant MiFID party type.

The financial institution can configure the fields in the ‘Regulatory details’ step according to their procedures.

In its out-of-the-box behaviour, the input entered within the ‘Regulatory details’ step does not pre-populate the relevant items of the MiFID questionnaire in Due Diligence stage, but that can be easily configured.

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