European Institute of Management and Finance | CySEC Regulatory Fundamentals: The Investment Services Sector
43347
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CySEC Regulatory Fundamentals: The Investment Services Sector

CySEC Regulatory Fundamentals: The Investment Services Sector

 

This seminar will cover key topics regarding the organizational and regulatory framework of the Cypriot Investment Firms (CIFs) which will assist participants in understanding and implementing the requirements, whilst it will serve as a platform for discussion on relevant challenging matters.

 

Objective

 

The course will cover the fundamental aspects of the CIFs in terms of the regulatory framework, the operations, the responsibilities of each department, the trading models and other operational aspects. It is intended for those interested in working at Investment Firms, those who are Non-Executive and Executive Directors and other critical functions.

 

 

Course Content

 

  • Cypriot Investment Firms (CIF): Walkthrough of the regulatory framework governing the organisational requirements
  • Capital Requirements of Investment Firms – CRDIV reporting requirements
  • Investment activities, ancillary services – Description of the activities and ancillary services, obligations
  • Financial Instruments – Description of the MiFID financial instruments – Practical examples
  • Organizational Structure, responsibilities of each department – Governance – Sanctions
  • Investor Protection – Market Transparency and Integrity – Best Execution
  • Different trading models – A book, B book
  • Advertising Guidelines – IBs, Tied Agents
  • Upcoming changes derived from the application of MiFIDII/MiFIR

 

 

Who should attend

 

  • Existing and prospective executives and supervisors of Banks, Cypriot Investment Firms (CIFs)
  • Existing and prospective employees of CIFs responsible for the provision of investment services
  • Compliance Officers, Internal Auditors, Anti-Money Laundering Compliance Officers and Risk Managers Cypriot Investment Firms (CIFs)
  • Legal Professionals and advisors