European Institute of Management and Finance | MiFID II Investment Research, Investment Advice and Portfolio Management
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MiFID II Investment Research, Investment Advice and Portfolio Management

MiFID II Investment Research, Investment Advice and Portfolio Management


The legal framework of MiFID II/MiFIR has applied since 3 January 2018. This new legislative framework strengthens investor protection and improves the functioning of financial markets making them more efficient, resilient and transparent. Professionals need to fully understand this legislative framework, its implications and how it is applied within firms.


In this 5-hour workshop we will examine and discuss the practical implementation as well as the application challenges of MiFID II relating to Investment Research, Investment Advice and Portfolio Management.



Training Objectives


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


Learn how MiFID II and Delegated Regulations affect:

  • Investment Research
  • Investment Advise
  • Independent Investment Advise
  • Portfolio Management


Learn how PRIIPS and Delegated Regulations affect:

  • Information for Financial Instruments
  • Costs and Charges


Understand Regulatory requirements for:

  • Appropriateness Test
  • Suitability Assessment
  • Reporting to clients



Training Outline


  • MiFID II – Directive (EU) 2014/65
  • MiFiR – Regulation (EU) 600/2014
  • Delegated Regulations
  • Latest ESMA Q&A



Training  Style


This workshop is designed to be participative throughout and enhance the participants’ knowledge. The agenda will combine key formal presentations, practical examples and discussions. There will be ample opportunity for delegates to compare experiences with industry peers and raise issues of most concern to their organisation, either confidentially or in open session.


Participants will also receive the presentation handouts and transfer the knowledge gained to their workplace. Overall they will gain considerable insights to better compliance with the MiFID II Directive and Regulations.



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


This programme is ideal for professionals working in the Financial Sector such as:


  • Investment Advisers and Customer Support Personnel
  • Portfolio Managers and Designers of Investment Products or Strategies
  • FinTech professionals selling Products & Services
  • Professionals working in Compliance and Risk Management
  • Other Management, Administration, Marketing and Technical staff
  • Corporate lawyers, Accountants, and Consultants