Kodiak MiFID

Admin

The Admin page is used to configure the system. The page is only used when the KODIAK MiFID system is configured for the first time and when MiFID tests need modification.

Administrators can:

• Create and modify MiFID tests
• Create and modify MiFID questions
• Create tests for individuals or companies
• Make tests inactive or active
• Create contracts
• Create new versions of old contracts

Sales Functionality

The Sales page is used by front office personnel. Front office interacts directly with customers from day to day and use the Sales page

Sales people can:

• Sales people can view customers MiFID profile
• Fill out MiFID tests for customers
• Accept the MiFID terms for a customer
• Search for customers
• View list of customers
• View customer profile
• View customers MiFID category for any asset class
• View what tests customer need to fill out for each asset class
• View which contracts a customer has accepted

Compliance Functionality

The Compliance section enables the Compliance Officer to view and edit all MiFID information for each customer including:

• Search for customers
• Take MiFID tests for a given customer
• View MiFID test history
• Create/Edit terms for a customer
• Edit/View General MiFID information for a customer
• Edit/View Customer type of a customer
• View history of changes for a given customer

Compliance

Compliance officers can:

• Edit customers MiFID classification
• Select a customers MiFID category for any asset class
• Choose what asset classes are complex and non-complex
• View history of tests for customers
• View change history of customers profile

Web services

• The system is built using web services for easy integration to other systems

Audit

• All actions are logged in a database for auditing purposes