Agreement and authority
Who is the contracting party? What services, boundaries and decision rights apply? For portfolio management and copy trading, mandate, strategy and intervention rights need to reflect actual delivery.
REGULATORY TOOLS / CONTRACTS
The client promise must match the client journey.
Contracts form their own workstream. Mandates, product scope, client information and technical delivery must describe the same service.
From mandate to ongoing relationship
Information and changes
Govern terms, costs, risks, product information, consent and document versions so clients receive relevant information at the right point and changes remain traceable.
Connection to assessments
Appropriateness and suitability assessments are triggered in onboarding and servicing. Agreements define the service and should align with assessment journeys and recorded outcomes.
Questions to check
Is there one identifiable version of each client document? Can changes be tied to affected clients and assessments? Do risk information, permissions and tradable products agree?
Did you know?
From the Pathfinder
Business concept
How an app can become an activity that requires permission.
Have you explored?
Across our tools & projects
Fit & Proper · skills matrix
Prepare management profiles and collective suitability reviews.
International market entry / Germany
Is Germany your next market?
Considering a local office, a branch or a standalone authorisation in Germany? The appropriate route depends on your home jurisdiction, activities and operating model. 3RMCN combines experience from complex supervisory projects with product, technology and delivery expertise: from entry strategy and key interfaces through to operational readiness.
Discuss your plans ↗Supervisory perspectives
Familiar with several regimes
Experience in the context of CySEC (Cyprus), MFSA (Malta), FCA (United Kingdom), the European ESMA framework and MAS (Singapore). ESMA is not a national licensing authority.
International structuring
Incorporating offshore?
For incorporation in offshore jurisdictions, relevant specialists from the network can be involved. Jurisdiction, activities and regulatory obligations need to be considered for each project.