Framework advisory across MiFID II, EMIR, AIFMD II, UCITS VI and MAR.
Independent reviews and documentation support for management companies and investment firms navigating overlapping EU and Maltese reporting regimes — where a generic checklist misses the detail that gets flagged in an examination.
Where advisory work sits
Five frameworks, each reviewed against its own technical standards rather than a shared template.
MiFID II & EMIR advisory
ESMA- Transaction and trade reporting obligation reviews
- Best execution and product governance assessments
- EMIR derivatives reporting reconciliation support
AIFMD II advisory
AIFMD- Loan origination fund requirements and liquidity management tool selection
- Delegation arrangement reviews and substance assessments
- Updated investor disclosure and reporting obligations
UCITS VI advisory
UCITS- Liquidity management tool implementation and stress-testing documentation
- Depositary and delegation arrangement reviews
- Updated investor disclosure requirements
Market Abuse Regulation (MAR)
ESMA- Insider list maintenance and market soundings procedures
- Suspicious transaction and order report (STOR) process design
- Managers' transaction notification and disclosure reviews
DORA advisory beyond the RoI
ESA · DORA- ICT risk management framework reviews
- Third-party risk register maintenance between filing cycles
- Incident classification and reporting process design
How an engagement runs
A fixed structure, so scope and cost are clear from the first call.
Scope
Review your current framework, documentation and gaps against the applicable regime.
Assess
Detailed mapping against the relevant ESMA, EBA or ESA technical standards.
Deliver
Documentation, templates and a prioritised remediation plan.
Support
Ongoing advisory through submission, examination or audit.
Have a gap you need reviewed?
A scoping call is the fastest way to find out what an engagement would involve.