Investor Protection

Investor Protection

Supporting you with client profiling, product suitability assessments and regulatory reporting.

 

 

  

Industry objectives

The goals of the investor protection agenda are clear: to improve the competitiveness of EU financial markets and ensure protection for investors in financial instruments.

Firms that sell financial instruments or advise clients to invest in them must be equally prepared to comply with various regulations introduced to protect investors’ interests.
 

  

 

 

  

The challenge for firms

Under MiFID II and similar regulations, firms will be required to profile investors, ensure they only offer them suitable products, produce and hand out regulatory documents and report transparently on transactions.

Complying with regulatory obligations requires complicated processes and partnerships to be put in place, consuming valuable resources.
 

  

 

 

  

Data and regulatory expertise from SIX

We support firms by providing the data and value-added services necessary for regulatory compliance.

Our high-quality data and regulatory expertise make us your trusted partner for meeting the investor protection compliance challenge. 

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Questions? We have answers.

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