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Compliance FAQs

What classification do my clients fall into?

Under MiFID, all of your clients will be classified under one of five categories. It is very important that you ensure you categorise your clients correctly, as permissions and protections vary between classifications. The Five possible classifications are:

  • Retail clients. 
  • Elective Professional clients.
  • Per Se Professional clients. 
  • Elective Eligible Counterparties.
  • Per Se Eligible Counterparties.

To establish what categorisation each of your clients requires, please read our guide here.

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