GLOBAL UNIVERSAL BANK
MiFID II Investor Protection Implementation
Regulatory requirements for investor protection were translated into system functionalities to support compliant decision-making within a cross-asset trading platform.
INDUSTRY
Financial Services
DURATION
1.5 years
CAPABILITIES
Solution Design
Data Structuring
Challenge
Regulatory requirements under MiFID II introduced complex rules for risk suitability and pre-trade checks, which needed to be consistently applied across a high-volume trading environment.
The challenge was to translate these requirements into a structured and coherent solution within an existing execution platform.
Solution Approach
Regulatory requirements were translated into clear IT specifications, ensuring alignment between business rules and system behavior.
Risk suitability logic and pre-trade controls were defined and integrated into the platform, supported by structured data models and API specifications.
The solution approach ensured that regulatory obligations were consistently reflected in system processes, enabling reliable and scalable implementation.
Result
The execution platform achieved regulatory compliance with MiFID II requirements, ensuring consistent application of consumer protection rules across more than 30,000 daily orders.