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

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MiFID II Overview, Investment Research, Investment Advice and Portfolio Management

 

MiFID II came into effect on 3 January 2018 and as such professionals must have a clear understanding of this very important new legal framework.

 

The new legislative framework strengthens investor protection and improves the functioning of financial markets making them more efficient, resilient and transparent.

 

In this 5-hour workshop will offer an overview of the key parts of MiFID II including Investment Advice, Suitability and Appropriateness, Product Governance, Client Reporting and Investor Protection.

 

We will examine and discuss the practical implementation as well as the application challenges of MiFID II in general and provide more details relating to Investment Research, Investment Advice and Portfolio Management.

 

 

Training Objectives

 

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

  • Understand the key aspects of MiFID II
  • Examine the characteristics of Independent and Non-Independent Investment Advise
  • Comprehend the responsibilities for Producing and Distributing Financial Products
  • Highlight key aspects of the Suitability and Appropriateness process
  • Manage the preparation of Client Reports and Disclosures
  • Learn the main rules that apply to Monetary and Non-monetary Inducements
  • See how Payment for Research has been affected
  • Learn how MiFID II and Delegated Regulations affect Investment Research, Investment Advice and Portfolio Management
  • Learn how PRIIPS and Delegated Regulations affect information for financial instruments, costs and charges
  • Understand regulatory requirements for the appropriateness test, suitability assessment and 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.

 

 

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