What needs to be built?
Connect management, control functions, outsourcing and decision bodies so risks become visible. The precise arrangements depend on the business model, the firm’s scale and the applicable rules.
REGULATORY TOOLS / ORGANISATION
Turn accountability into structure
Connect management, control functions, outsourcing and decision bodies so risks become visible.
Typical evidence
Organisation chart, responsibility matrix, outsourcing register.
Question before launch
Can a decision be traced to an owner, control and record?
Regulatory context
This map illustrates typical investment services in Germany. It is neither an exhaustive checklist nor a supervisory sign-off. Other activities may have different obligations.
MiFID II · Art. 16DORAInteractive assessments in this workstream
Assign clear ownership for questionnaires, approval, monitoring and escalation of assessments.
Explore Fit & Proper
Use the collective skills matrix and preparation checklist to map responsibilities and missing evidence.
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.