MiFID II for Financial Professionals: A Comprehensive Guide

Join our MiFID II course, tailored for financial professionals who need to keep pace with the evolving financial regulatory environment. With the financial sector continuously adapting to new regulations, a deep understanding and practical application of the Markets in Financial Instruments Directive II (MiFID II) is crucial.

Course Highlights:

  1. Staying Current with Regulatory Changes: The financial industry’s landscape is rapidly changing. This course provides you with up-to-date knowledge to remain compliant with MiFID II regulations. 
  2. Focus on Investor Protection and Market Integrity: Central to MiFID II is the protection of investors. Learn about critical aspects such as client categorization, suitability assessments, and best execution strategies to safeguard investor interests and uphold market integrity. 
  3. Achieving Organizational Excellence and Compliance: MiFID II significantly affects various financial service operations, from trading to compliance reporting. This course delves into how MiFID II transforms governance, compliance, risk management, and internal audit processes, enabling you to develop effective organizational frameworks that align with regulatory standards. 
  4. In-Depth Insights into Market Structures and Transparency: Equip yourself with knowledge on complex market structures, trading venues, and algorithmic trading. Understand the intricacies of transaction reporting and market transparency to promote fair and efficient market operations.
  5. Professional Development Opportunity: Enhance your professional skills and knowledge, positioning yourself as a valuable asset in the financial sector with a comprehensive understanding of MiFID II.

Embark on this course for a robust grasp of MiFID II, essential for any financial professional aiming to excel in today’s dynamic regulatory landscape.

Aim:

Our “Revisiting MiFID II” comprehensive program delves into client protection, organizational requirements, and market transparency. The goal is to ensure participants navigate compliance challenges seamlessly. By course completion, professionals will possess the knowledge and confidence to excel in their roles, stay ahead of regulatory changes, and contribute effectively to the financial industry. Elevate your expertise and career prospects with a course tailored to meet the specific needs of today’s financial professionals. Enroll now to enhance your capabilities and thrive in the dynamic financial landscape.

Who should attend:

  • Financial Service Professionals: If you’re in banking, investment, or financial advisory, this course is for you. 
  • Compliance and Legal Experts: Stay updated with the latest regulatory requirements and best practices. 
  • Aspiring Financial Regulators: Gain a foundational understanding of one of the most important financial regulations in the EU.
  • Financial Industry Service Providers: Improve your service quality by anticipating your client’s needs and stay ahead of competition.

Objectives:

By joining our course, participants will: 

At knowledge level: 

  • Gain insights into critical aspects of MiFID II, such as client categorization, suitability assessments, and best execution strategies, fostering the ability to safeguard investor interests and uphold market integrity. 
  • Understand how MiFID II transforms governance, compliance, risk management, and internal audit processes in various financial service operations. 
  • Understand the intricacies of transaction reporting and market transparency to promote fair and efficient market operations.

At skill level: 

  • Gain insights into critical aspects of MiFID II, such as client categorization, suitability assessments, and best execution strategies, fostering the ability to safeguard investor interests and uphold market integrity. 
  • Understand how MiFID II transforms governance, compliance, risk management, and internal audit processes in various financial service operations. 
  • Understand the intricacies of transaction reporting and market transparency to promote fair and efficient market operations. 

At attitude level: 

  • Confidence in navigating regulatory compliance challenges seamlessly.
  • Appreciation for the importance of adhering to MiFID II regulations to maintain industry integrity. 
  • Develop a sense of responsibility and commitment to ensuring that financial services align with client needs, as emphasized by MiFID II. 
  • Approach challenges with a positive mindset, seeking innovative solutions to complex issues. 

Training Curriculum:

Course Introduction
● Participant welcoming/Introduction
● Icebreake
● Course outline & Objectives

Chapter 1:Client/Investor Protection
● Clients’ Categorization
○ Categories & Criteria
○ Notifying Client’s of their rights
○ Re-classification options
● Clients’ Suitability/Appropriateness
○ Assessment process
○ Rejecting clients
● Best Execution Requirements
● Client Handling Rules
● Product Governance
○ Considerations for clients
○ Information disclosure
● Maintenance of records & statistical reporting

Chapter 2:Organizational Requirements
● Governance, The Board and the Committees
○ Division of duties & responsibilities
○ Composition requirements
○ Committees – what and when
● Remuneration
○ Fixed vs Variable
○ Best practises
● Compliance, Risk and Internal Audit Functions
○ The role and importance of each function
○ Outsourcing conditions
● Conflicts of Interests
○ How to identify conflict
○ Avoidance/Mitigation measures
● Safeguarding clients’ assets
○ Safeguarding requirements
○ Disclosures to clients
● Inducements Policy
● Maintenance of records & statistical reporting

Chapter 3: PRIIPs & KIIDs
● PRIIP specifications
● KIID specifications
● PRIIP vs KIID

Chapter 4: Market Structures
● Trading and execution venues
● Algorithmic trading

Chapter 5: Market Transparency
● Transaction reporting
● Pre and Post trade disclosures
● Best execution reporting

Closing
● Review
● Quiz
● Q&A

 

Participation Contribution: €200+VAT

Course Dates

Date
Time
26/03/2024
10:00 - 14:15
27/03/2024
10:00 - 14:15
28/03/2024
10:00 - 14:15
29/03/2024
10:00 - 14:15

*CPD Recognition

This programme 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 which you hold membership.