Free template for advisers to use after client meetings to meet MiFID II regulations

Advisers need to write up face-to-face meetings with clients to meet new regulations under MiFID II.

Many advisers, financial planners and planning assistants don’t have the time or inclination to write up meetings notes, and that’s where our service is proving useful, not only in saving them time/having a good deck of client notes to refer to, but also meeting MiFID II requirements.

Below is a FREE template of what needs to be written up or dictated to us: 

(i) the date and time of the meeting;
(ii) the location of the meeting;
(iii) the identity of the attendees;
(iv) the initiator of the meetings;
(v) relevant information about the client order including the price, volume, type of order and when it shall be transmitted or executed.

The FCA have said the above is the minimum information needed under the EU rules, but in addition, the note should capture all the main points of the full conversation that are relevant to the order.

How to use VoiceNotes to capture meeting notes:

After a call or meeting, just dial a dedicated number from any phone, dictate the note, and hang up. Notes are processed, proofread and emailed back, word-perfect. No equipment is needed or IT set-up required. All notes are time and date-stamped, enabling them to be as contemporaneous as they can be versus recording the actual meeting, which isn’t always practical.

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For more information please contact us on / 0207 117 0066 and we’d be delighted to answer any questions.


About the Author:

Kirstie is the co-founder of VoiceNotes Ltd. She has helped build brands for leading FMCG companies (Procter & Gamble/Shell) for over a decade before launching her own businesses. She specialises in supporting businesses in the financial sector. "VoiceNotes delivers the best service in the world and keeps ahead of the market – that’s enough to keep my interest in driving it forward.”