{
  "docId": "019dd923-5e88-73ef-bd58-07b375a7cd5b",
  "docSlug": "335ba522863769dc",
  "documentTitle": "Banking and capital markets trends 2020: Laying the foundations for growth",
  "authorId": "PwC",
  "authorName": "PwC",
  "documentKindSlug": "consulting-deck",
  "documentKindLabel": "Consulting deck",
  "sourceTypeSlug": "strategy_consulting",
  "sourceTypeLabel": "Strategy consulting",
  "presentationDate": null,
  "orientation": "landscape",
  "aspectRatio": 1.414,
  "pageNumber": 55,
  "pageCount": 88,
  "prevPage": 54,
  "nextPage": 56,
  "slideType": "appendix",
  "function": "summarize",
  "density": "dense",
  "nDataPoints": 0,
  "notes": "Part of a series of slides on regulation; focuses on compliance requirements for research and conflict management.",
  "elementsJson": [
    "headline_text",
    "bullet_list"
  ],
  "metadataConfidence": 1,
  "imagePath": null,
  "slideHref": "/slides/019dd923-5e88-73ef-bd58-07b375a7cd5b/55",
  "deckHref": "/decks/019dd923-5e88-73ef-bd58-07b375a7cd5b",
  "deckJsonHref": "/decks/019dd923-5e88-73ef-bd58-07b375a7cd5b.json",
  "deckAnchorHref": "/decks/019dd923-5e88-73ef-bd58-07b375a7cd5b#slide-55",
  "components": [
    {
      "bbox": {
        "h": 0.03,
        "w": 0.05,
        "x": 0.9,
        "y": 0.93
      },
      "kind": "disclaimer",
      "text": "September 2019 52",
      "attrs": null,
      "subkind": null,
      "toolName": null,
      "toolSlug": null,
      "confidence": null,
      "componentId": "6ecf64cf-f61b-483b-9ee3-ea5951aad92c",
      "frameworkName": null,
      "frameworkSlug": null
    },
    {
      "bbox": {
        "h": 0.03,
        "w": 0.2,
        "x": 0.05,
        "y": 0.93
      },
      "kind": "disclaimer",
      "text": "2020 Internal Audit Planning PwC",
      "attrs": null,
      "subkind": null,
      "toolName": null,
      "toolSlug": null,
      "confidence": null,
      "componentId": "fdb1b483-c188-4b08-a5ba-cd8d19c4996b",
      "frameworkName": null,
      "frameworkSlug": null
    },
    {
      "bbox": {
        "h": 0.25,
        "w": 0.45,
        "x": 0.52,
        "y": 0.27
      },
      "kind": "list",
      "text": "Conflicts of interest: requirements for supervision, remuneration, and information exchange.",
      "attrs": null,
      "subkind": "bullet",
      "toolName": null,
      "toolSlug": null,
      "confidence": null,
      "componentId": "3ca06545-5b9c-42bd-aefb-034a2f85eab3",
      "frameworkName": null,
      "frameworkSlug": null
    },
    {
      "bbox": {
        "h": 0.12,
        "w": 0.9,
        "x": 0.05,
        "y": 0.57
      },
      "kind": "list",
      "text": "Key risks: failure to define research, failure to govern pricing, and failure to mitigate conflicts.",
      "attrs": null,
      "subkind": "bullet",
      "toolName": null,
      "toolSlug": null,
      "confidence": null,
      "componentId": "4267a776-89b0-4a9b-a90f-33edc4c93f9c",
      "frameworkName": null,
      "frameworkSlug": null
    },
    {
      "bbox": {
        "h": 0.25,
        "w": 0.45,
        "x": 0.05,
        "y": 0.27
      },
      "kind": "list",
      "text": "Research for investment firms: requirements for unbundling, explicit payments, and reporting.",
      "attrs": null,
      "subkind": "bullet",
      "toolName": null,
      "toolSlug": null,
      "confidence": null,
      "componentId": "6983ac41-95e1-4f54-98fd-48584e75e26b",
      "frameworkName": null,
      "frameworkSlug": null
    },
    {
      "bbox": {
        "h": 0.18,
        "w": 0.9,
        "x": 0.05,
        "y": 0.73
      },
      "kind": "list",
      "text": "Internal audit focus: categorisation, controls, oversight, and policy updates.",
      "attrs": null,
      "subkind": "bullet",
      "toolName": null,
      "toolSlug": null,
      "confidence": null,
      "componentId": "dfa7d2fa-3ecd-41de-b189-48dda5549115",
      "frameworkName": null,
      "frameworkSlug": null
    },
    {
      "bbox": {
        "h": 0.03,
        "w": 0.9,
        "x": 0.05,
        "y": 0.22
      },
      "kind": "paragraph",
      "text": "The Markets in Financial Instruments Directive (MiFID II)",
      "attrs": null,
      "subkind": "paragraph",
      "toolName": null,
      "toolSlug": null,
      "confidence": null,
      "componentId": "cbe76bd6-a412-45ba-a3a8-3c91e491f058",
      "frameworkName": null,
      "frameworkSlug": null
    },
    {
      "bbox": {
        "h": 0.05,
        "w": 0.4,
        "x": 0.05,
        "y": 0.06
      },
      "kind": "title",
      "text": "Further regulation – MiFID II (6/6)",
      "attrs": null,
      "subkind": "headline",
      "toolName": null,
      "toolSlug": null,
      "confidence": null,
      "componentId": "5da1912d-6caf-452f-9e65-703c7e81a13a",
      "frameworkName": null,
      "frameworkSlug": null
    }
  ],
  "metrics": [],
  "tools": [
    {
      "name": "List presentation",
      "slug": "list-presentation",
      "agent": null,
      "layer": "slide",
      "matchId": "2f82a517-ae88-4d02-ab67-8d8cf6f15332",
      "evidence": "list/bullet: Key risks: failure to define research, failure to govern pricing, and failure to mitigate conflicts.",
      "confidence": 0.7
    }
  ],
  "frameworks": [],
  "arcBeats": [
    {
      "to": 66,
      "from": 18,
      "beatId": "88b6734e-092d-4991-8706-5639248f97fb",
      "arcName": "Problem-Agitate-Solution",
      "arcSlug": "problem-agitate-solution",
      "beatName": "Evidence",
      "beatSlug": "evidence",
      "evidence": "The document provides evidence and analysis on various topics, including governance, risk management, and regulatory compliance.",
      "position": 2,
      "confidence": 0.8,
      "parentBeatName": null,
      "parentBeatSlug": null
    }
  ],
  "loops": [],
  "imagePathAlt": null,
  "thumbSrc": null,
  "thumbSrcAlt": null,
  "locked": true
}