MiFID II and SM&CR Meetings

Helping you achieve compliance throughout your customer journey by documenting meeting minutes for MiFID II and SMCR.

MiFID II client meeting notes


The FCA amended its proposal to require advisers to tape telephone calls under MiFID II by saying they can also make a written note of the conversation. They added the regulation that all face-to-face meetings also needed to have a written note. VoiceNotes delivers the solution by documenting all calls and face-to-face/virtual meetings in minutes.


It’s straightforward to set up and use: after a call or meeting, teams 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 MiFID II client meeting 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.


The FCA have laid out what minimum information should be captured under the EU rules:


  • The identity of the attendees.
  • The date and time of the meeting.
  • The location of the meeting.
  • The initiator of the meeting.
  • Relevant information about the client order, including the price, volume, type of order and when it shall be transmitted or executed.


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Please get in touch with any questions or to request a free trial: info@voicenotes.co.uk / 0207 117 0066 / or via our online form.

SM&CR meeting minutes


Writing up minutes of board and senior manager meetings takes time, but is necessary for good governance. VoiceNotes provides a simple, secure and cost effective solution to outsource writing up meeting minutes.


You dictate meeting minutes on our secure lines using any phone. We transcribe and proofread the notes to perfection, then email them back securely.


For more information on our Note Taking for SM&CR article, please click our: FT opinion piece on SM&CR


You might also be interested in our article on record keeping for Senior Managers.


Please get in touch with any questions or to request a free trial: info@voicenotes.co.uk / 0207 117 0066 / enter details below / online form.

MiFID II client meeting notes