European Institute of Management and Finance | Duties of Investment Professionals
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Duties of Investment Professionals

Suitability, Best Execution, Communication with Clients and other Duties of Investment Professionals 

Investment Professionals are better informed about the investment strategies, the characteristics and risks of financial instruments compared to clients, who trust them for the management of their wealth. Consequently, financial advisors should provide investment services maintaining the highest level of ethical and professional standards.

In this seminar, we examine duties of investment professionals to clients, such as suitability, best execution, communication with clients and conflicts of interest. Such standards are described in CySEC legislation as well as the CFA Institute Standards of Practice Handbook.

Seminar Content:

  • Importance of ethics for the Society and Capital Markets
  • Duties of investment professional to clients
  • Suitability
  • Best Execution – Fair Dealing
  • Information to Clients
  • Conflicts of Interest
  • Examples of Application of the Standards

Who should attend:

  • Investment Services Professionals
  • Portfolio Managers, Fund Managers and Investment Advisors
  • Compliance Officers
  • Internal Auditors
  • Legal Professionals
  • Professionals that aim to obtain their CPD training as required by CySEC

DATES: 24 and 25 October

DURATION: 5 Hours / CPD Units

LOCATION: EIMF Premises, Nicosia

TIME: 17:30 – 20:15

FEES: €120 +19% VAT

Registration Form

Download Registration Form

You can register by sending the completed registration form above to info@eimf.eu or via fax to 2227 4475. If you need help completing the form, please give us a call at 2227 4470

Course Brochure

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In-House Training

If you would like to discuss bringing this or another topic to your organization on an in-house basis please call us at 22274470 or email us at info@eimf.eu.

Instructor: Dr Constantinos Kourouyiannis

Constantinos Kourouyiannis has a broad experience in financial and investment services and especially in the investment decision-making process. Currently, he is the Deputy Head of the Portfolio Management Department of WS Financial and Investment Services Ltd. His experience includes: active portfolio management of equity portfolios, macroeconomic and fundamental analysis, valuations and risk analysis. He also has in-depth knowledge and understanding of the legal framework of Alternative Investment Funds. Before becoming an investment professional, Constantinos undertook research positions at the University of Cyprus and made presentations in reputable international conferences in London, Melbourne and Cyprus. He is also a Referee of the Multinational Finance Journal. The areas of his research work include financial risk management, financial econometrics, forecasting financial time series, bootstrap methods, model uncertainty and structural breaks.

Constantinos holds a BSc in Mathematics and Statistics from the University of Cyprus, an MSc in Finance and Economics from the LSE and a PhD in Economics (with emphasis in Financial Risk Management) from the University of Cyprus. He also holds the Advanced Certificate of CySEC for the Financial Services Legal Framework.