Tried and tested solutions to the new MiFID II challenges

4 August 2017

Dunstan Thomas, an expert in providing disclosure solutions to the highly- regulated pensions market for more than 20 years, has applied its expertise and already mature Imago-branded suite of technology products to the task of meeting asset managers’ new MiFID II reporting and disclosure requirements.


  1. ‘Ex-ante’ point of sale illustrations: ‘Ex-ante’ disclosure rules demand a point of sale illustration disclosing key investment product and service costs and charges which investors can expect to incur annually and the cumulative effects of costs on returns. European Securities & Market Authority guidelines, which provide some of the more detailed requirements in MiFID II, demand that firms give investors a point of sale illustration. These need to show “the cumulative effect of costs on returns which must be comprehensive of anticipated spikes or fluctuations (relating to upfront fees, exit costs etc.)”

Bryan Beeston, Business Development Director at Dunstan Thomas explained: Having unpicked MiFID II disclosure requirements, we spotted that asset managers were not focusing enough on the investor reporting and pre- and post-sale illustration requirements within MiFID II. Because we have such depth in understanding of how the data for these types of illustrations and reports can be brought together, tailored to specific audiences and then presented both online and in paper form, it made sense to offer ready solutions to meet asset managers’ needs ahead of a tight MiFID II compliance deadline.

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