European Institute of Management and Finance | MiFiD II: Investment Research, Investment Advice and Portfolio Management for Investment Firms
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MiFiD II: Investment Research, Investment Advice and Portfolio Management for Investment Firms

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MiFiD II: Investment Research, Investment Advice and Portfolio Management for Investment Firms

 

Introduction:

 

MiFID II/MiFIR is 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. 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.

 

 

Learning Objectives:

 

  • 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

 

 

Seminar Content derives from:

 

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

 

 

Who Should attend:

Graduates aiming for a career in Portfolio Management, New starters in Portfolio Management, Financial Journalists, FinTech professionals selling Products & Services to Portfolio Managers Professional Investment Advisers, Marketing, Compliance, Risk Management, Management, and Technical. People involved in the task of promoting and providing financial products and in need to understand the different roles and responsibilities, as well as their regulatory constraints. The programme is suitable for all staff working or wishing to work in financial services including customer support, administration, finance and accounting, IT, customer services and sales. It will also be of interest to those who work with the industry such as corporate lawyers, accountants, and consultants.

 

 

Style and timing

 

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.