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A provider of investment services must take all reasonable steps to obtain, when executing orders, the best possible result for its clients taking into account price, costs, speed, likelihood of execution and settlement, size, nature or any other consideration relevant to the execution of the order.
This Seminar will provide all information required for said providers to be compliant with the laws and regulations that govern best execution policies.
Seminar Content:
• Applicability
• Article 36 of Law 144
• Execution of Client Orders
• PM and RTO
• Execution Policy, Order Execution Policy, and Execution of Client Orders
• Aggregation and Allocation of Orders
• Best Execution under MiFID
• Objectives, Definitions
• Orerarching Best Execution Requirement
• Fees and Commissions
• Client Consent and Express Consent
• Transmitting of Orders and Best Execution
• Annual Reviews and Monitoring
• Examples of Investigations by EU Regulators
• Asymmetric Slippage
Who should attend:
Investment Services Professionals, Investment Bankers, Legal Professionals, Accountants, Fiduciary Service providers. Also professionals that aim to obtain their CPD training, as required by CySEC and the ICPAC.
Continuous Professional Development (CPD)
According to CySEC’s requirements, persons registered in the Public Register of Certified Persons must renew their registration on a yearly basis by submitting to CySEC within two months from the end of each calendar year a statement of continued professional training on topics that fall within the existing legislation on the capital market.
Furthermore, the ICPAC has put in place Continuous Professional Development (CPD) requirements based on ACCA’s CPD programme. ICPAC requires all members to undertake relevant CPD throughout their career, to ensure that they maintain and develop the knowledge, skills and expertise needed to succeed in their profession.
Instructor: Mr George Markides
Mr Markides is a member of the Compliance Support Department of a major Financial Advisory with a multifaceted knowledge of the financial sector. He possesses a BSc degree by the university of Surrey and a MBA by the Cyprus International Institute of Management. He has hands on experience with the financial services sector having worked in various positions. In addition Mr. Markides is a contributor on economic matters to English speaking publications in Cyprus.
DATES: 18/11/2015
DURATION: 5 Hours
LOCATION: Frederick University, Limassol
TIME: 16:00 – 21:15
FEES: €90 +19% VAT
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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 [email protected].
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