European Institute of Management and Finance | Investor Protection Regulatory Updates
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Investor Protection Regulatory Updates

Investor Protection Regulatory Updates

 

MiFID II, PRIIPs and IDD include numerous provisions on investor protection especially as far as retail investors are concerned. Emphasis is given mainly to the information to be provided to the client, to transparency requirements, to the efficient determination of the target market and the distribution of the investment products accordingly, to the suitability and appropriateness assessment of clients and to the best practices when executing client orders.

 

A Regulation was deemed necessary to ensure that a common standard for key information documents is established in relation to PRIIPs in a uniform fashion, so as to be able to harmonise the format and the content of those documents. The directly applicable rules of a Regulation should ensure that all those advising on, or selling, PRIIPs are subject to uniform requirements in relation to the provision of the key information document to retail investors.

 

The IDD Directive includes specific rules on investor protection in relation to insurance investment-based products.

 

 

Training Objectives

 

The programme will:

  • Present the investor protection rules according to MiFID II, PRIIPs and IDD
  • Present the new requirements on product governance
  • Present the content of the KID according to PRIIPs
  • Analyse the practical implications of these new requirements
  • Provide guidance concerning compliance with the new requirements

 

 

Training Outline

 

  • Categorisation of clients
  • Information to be provided to clients
  • Best execution
  • Manufacturing and distributing financial instruments
  • Product monitoring and intervention
  • PRIIPS’ scope of application
  • Key Information Document
  • IDD investor protection rules
  • Enforcement

 

 

Training Style

 

The programme is designed to deliver knowledge and enhance participants’ skills via case-studies and practical examples, and participants will benefit from customised feedback at the end of the programme and take away knowhow that can be transferred at their workplace.

 

The course shall include the presentation and analysis of the regulatory framework providing practical examples.

 

 

Who Should Attend

 

The programme will benefit those who need to know and understand the Investor Protection Regulatory framework and will be of particular benefit to:

  • Legal Advisers
  • Compliance Officers
  • Any person who provides investment services