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While we’re sure that the regulator didn’t intend to create an intertwined tangle of rules, the dawn of MiFID II brings some interesting developments that can only add to the tangle, not least in the form of the 10% drop rule.

However, there is also one deft rule change that really helps as it allows discretionary investment managers (DIMs) and advisers to work together in a way that is both clearer for clients and spreads the business risks between DIMs and advisers more appropriately.

Download our latest white paper ‘Tangled – Making Sense of the New Rules and Regulations of MiFID II’ to discover what ‘Agent as Client’ really means for you and why ‘Reliance on Others’ may be a better model. Plus, get the lowdown on the controversial 10 per cent drop rule and how these different operating frameworks impact the options around who can or should contact the end client in the event that their portfolio drops 10%.

This document is only for professional financial advisers, their clients and their prospective clients. The information given here is for information purposes only and is not intended to constitute financial, legal, tax, investment or other professional advice. It should not be relied upon as such and PortfolioMetrix cannot accept any liability for loss for doing so. Any forecasts, expected future returns or expected future volatilities are not guaranteed and should not be relied upon. The value of investments, and the income from them, can go down as well as up, and you may not recover the amount of your original investment. Past performance is not necessarily a guide to future performance. Portfolio holdings and asset allocation can change at any time without notice.

PortfolioMetrix Asset Management Ltd is authorised and regulated by the Financial Conduct Authority (FCA No 564162) in the United Kingdom. PortfolioMetrix Asset Management SA (Pty) Ltd is an Authorised Financial Services Provider in South Africa. The information contained is given for information purposes only and is not intended to constitute financial, legal, tax, investment or other professional advice and should not be relied upon as such. Investments can go down as well as up and past performance is not a guide to the future.

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