MiFID II and Investment Advice: What’s Allowed, What’s Not (H1043)
This MiFID II and investment advice course delivers a comprehensive, case-driven understanding of the regulatory framework set by MiFID II and CySEC. You will gain the knowledge and practical skills needed to ensure client suitability, prepare compliant proposals, and excel ethically as a licensed advisor.
Table of Contents
- About the Course
- Who Should Attend MiFID II and Investment Advice Course?
- Key Learning Objectives
- MiFID II and Investment Advice Course Curriculum
- Meet The Trainer
- FAQs – Frequently Asked Questions
- Testimonials From Past Participants
- Other Upcoming Courses
- Fees & Registration Details
- Registration Form
About the Course
In today’s highly regulated financial environment, understanding what qualifies as investment advice – and what crosses the line – is essential. This specialised training provides a comprehensive overview of the legal, regulatory, and ethical framework surrounding investment advice under MiFID II and CySEC regulations.
Through a structured, case-driven curriculum, participants will learn to craft investment strategies that align with client needs and regulatory expectations. The course dissects key concepts such as suitability and appropriateness, distinguishing investment advice from other financial services, and addressing potential conflicts of interest. You will also develop practical skills in assessing client profiles, preparing compliant investment proposals, and recognising red flags in advisory engagements.
Ideal for aspiring licensed advisors and seasoned professionals seeking regulatory clarity, this seminar delivers actionable knowledge with direct application to your advisory practice.
Register via ERMIS platform using code 662137
*This financial regulation course program is designed to support continuing professional development (CPD). Participants are encouraged to verify with their professional body or regulatory authority whether the training meets their individual or institutional CPD requirements
MiFID II and Investment Advice Course Time Table:
Who Should Attend MiFID II and Investment Advice Course?
The target audience for our Investment Advice course comprises both seasoned financial professionals looking to enhance their skills and aspiring advisors seeking a solid foundation in the field.
This course caters to individuals aspiring to become licensed investment advisors and experienced practitioners aiming to stay current with evolving regulatory standards and ethical best practices.
Whether you’re entering the financial advisory sector or seeking to further your career, our course provides the essential knowledge and skills needed to excel in the dynamic world of investment advice within the framework of MiFID II and CySEC regulations.
Key Learning Objectives
Upon completion of the program on Investment Advice under MiFID II, the participants will be able to:
Knowledge:
- State and define the regulatory requirements for having an Investment Advisor license
- State and recognize the main provisions, powers and responsibilities of the competent authorities.
- Explain the duties and responsibilities of an Investment Advisor.
- Analyze and identify client’s financial ability and objectives.
- Establish policies and procedures for contacting investment research.
Skills:
- Apply comprehensive analysis to client’s economic profile.
- Prepare realistic investment proposals aligned with client’s financial objectives.
- Monitor and reassess client’s investments.
Attitudes:
- Protect themselves and their clients from unethical practises.
- Adopt realistic stances in regards to financial objectives.
- React and reject business relationships that demand unfeasible objectives.
- Encourage an ethical and compliant culture.
MiFID II and Investment Advice Course Curriculum
- Icebreaker
- Course set-up, purpose and objectives
- Set-up course commitment contract
- Introduction to regulatory and basic definitions
- Introduction to legal references and authorities
- Investment Advisor’s role & responsibilities under MiFID II
- Ethical considerations & conflict of interest
- Case study – discussion on ethical practices
- When and what information to collect
- How to assess client’s suitability and appropriateness
- Contacting a comprehensive information analysis
- Setting up realistic investment objectives
- Investment risk analysis and management
- Analysis investment scenarios and strategies
- Creating a comprehensive investment proposal reports
- Investment monitoring and reporting
- Regulatory distinction of Investment Advice and other financial activities
- Identifying and navigating situations of correlation
- Best practices and disclosures
- Course recap
- Multiple choice exam
- Course Assessment
- Q&A and Closing Remarks
Meet The Trainer
Fees & Registration Details
Testimonials From Past Participants
FAQs – Frequently Asked Questions
This seminar may be approved for up to 6 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator, or other bodies in which you hold membership.
This seminar offers practical insights and real-world case studies not easily accessible online. You’ll gain up-to-date knowledge on regulatory developments, interact with expert instructors, and participate in hands-on workshops that focus on the investment advice service as a regulated activity, and how to implement effective compliance strategies in your organization.
While the content is tailored for financial professionals, the seminar can be relevant to persons offering advisory services on products that are indirectly connected to financial products, like insurance advisors offering life or pension insurance policies.
Not directly, they are addressed in the sense of providing investment advice on crypto-assets within a regulatory compliant framework
Compliant investment advice is only possible when the firm’s operational foundation is sound. This includes rigorous adherence to client asset segregation and strong internal governance. For a full understanding of the firm’s duties in this area, read our guide on Protecting Client Funds Under MiFID II. Furthermore, the compulsory ESG suitability rules are covered in our analysis of MiFID III and the Transition Ahead.
