European Institute of Management and Finance | MiFID II Organisational Requirements and Operating Conditions for Investment Firms
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MiFID II Organisational Requirements and Operating Conditions for Investment Firms

MiFID II Organisational Requirements and Operating Conditions for Investment Firms

 

MiFID II brought a lot of changes to the organisation of investment firms. Several policies and procedures have had to be adopted, new corporate governance requirements were imposed, product governance requirements were established, and new investor protection requirements were imposed.

 

The suitability and appropriateness assessment must be combined with the product governance regulations, investment advice is distinguished between investment advice on an independent or non-independent basis, while new rules were established on inducements.

 

The legislative framework consisting –apart from MiFID II and MIFIR – of numerous level 2 and level 3 rules is very detailed and demanding. Furthermore, new guidelines are constantly adopted for specific issues, which need to be implemented by the investment firms.

 

The objective of this Seminar is to provide, in a systematic way, a comprehensive overview of the MiFID II organisational requirements for investment firms considering all the above-mentioned requirements. Professionals in the field of investment services who will follow the Seminar will be able to update their knowledge in relation to these issues and attaining a good overview of all these requirements.

 

 

Programme Objectives

 

By the end of the programme, participants will be able to:

 

  • Understand the organisational requirements and operating conditions in relation to the provision of investment services
  • Check the way MiFID II is implemented in their company
  • Identify any shortcomings in relation to their organisational structure and operating conditions
  • Update their policies and procedures

 

 

Programme Outline

 

  • Introduction
  • Corporate governance requirements
  • Remuneration issues
  • Pre-contractual information / organisation
  • Warm-up exercise
  • Policies and procedures to be implemented

 

 

Training Style

 

The programme is designed to deliver knowledge and enhance participants’ skills via case-studies and practical examples.

 

Participants will also benefit from feedback at the end of the programme and take away the knowledge gained to be transferred to their workplace.  Most of the training’s time will be invested in analysing a real-life case study that will help participants understand how to solve problems in similar occasions.

 

 

CPD Recognition

 

This programme may be approved for up to 5 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.

 

Professionals requiring CPD units to meet the education requirements for CySEC licence renewal, and/or for maintaining other professional memberships/certifications which accept CPD in Financial Regulation, are advised to consider training subjects in categories that indicate CPD training in Financial Regulation.

 

 

Who Should Attend

 

The programme will be particularly beneficial to:

 

  • Senior Managers in Investment Firms
  • Compliance Officers
  • Internal Auditors
  • Internal Lawyers
  • External Auditors, Lawyers and Financial Consultants