The Product Governance Regime has ‘gone live’ with the introduction of the Markets in Financial Instruments Directive Recast (MiFID II) from the 3rd of January 2018. This new regime aims to ensure that firm’s act in a client’s best interests, including funds and related management services, to end clients.
The regime is designed to ensure that when a firm manufactures or distributes regulated financial services and products, it has arrangements in place to understand the products and ensure they are only sold to investors and clients for which they are likely to be deemed suitable. The new requirements will apply to “services” as well as “products”, for all client types and to all distributors in the sales chain.
The product governance requirements ensure that firms, which manufacture and distribute financial instruments and products, act in the clients’ best interests during all stages of the life-cycle. This workshop examines the developments since implementation on the 3rd of January 2018 and the organisational arrangements that firms will need to consider.
This one workshop will provide delegates with an overview of the regulatory requirements and impact assess what these requirements practically mean for firms UK firms impacted by the product governance regime. The workshop will explore the risks that firms will need to consider in order to maintain compliance with the requirements particularly during times of economic and political change.
Attending this workshop will enable you to:
This workshop is designed to be participative throughout. The agenda will combine key formal presentations, case studies and syndicate discussion sessions. There will be ample opportunity for delegates to benchmark experiences with industry peers and raise issues of most concern to their organisation, either confidentially or in open session.
Who should attend
This workshop will be of benefit to anyone who is likely to be affected by the changes to be brought in by MiFID II – Product Governance Regime, including senior management, legal, compliance, third line assurance functions and those employees at the coalface.
Contact us for Group Registrations of 4 people or more
10% Autumn Early Booking Discount | Valid until 4 September (inclusive)
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