CySEC Regulatory Fundamentals: Overview of the Investment Services Sector

The course will cover the fundamental aspects of financial markets regulatory framework, the operations, the responsibilities of the different departments, the trading models and other operational aspects. It is intended for those interested in working at Investment Firms, those who are Non-Executive and Executive Directors and other critical functions.

Course Content

Cypriot Investment Firms (CIF): Walkthrough of the regulatory framework governing the organisational requirements
Capital Requirements of Investment Firms – CRDIV reporting requirements
Investment activities, ancillary services – Description of the activities and ancillary services, obligations
Financial Instruments – Description of the MiFID financial instruments – Practical examples
Organizational Structure, responsibilities of each department – Governance – Sanctions
Investor Protection – Market Transparency and Integrity – Best Execution
Different trading models – A book, B book
Advertising Guidelines – IBs, Tied Agents
Upcoming changes derived from the application of MiFIDII/MiFIR

Who should attend

Existing and prospective executives and supervisors of Banks, Cypriot Investment Firms (CIFs)
Existing and prospective employees of CIFs responsible for the provision of investment services
Compliance Officers, Internal Auditors, Anti-Money Laundering Compliance Officers and Risk Managers Cypriot Investment Firms (CIFs)

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Details

DATES: 6 July

DURATION: 5 Hours

CPD UNITS: 5

LOCATION: EIMF Premises, Nicosia

TIME: 14:30-20:00

FEES: €180 + VAT

Additional Dates and Similar Seminars

Start Date	Course Title	Location	CPD Units	Status
22 May	Promotion of Financial Products – a Regulatory Approach	Nicosia	5	UPCOMING
23 May	Handling Clients Complaints	Nicosia	5	UPCOMING
6 July	CySEC Regulatory Fundamentals: Overview of the Investment Services Sector	Nicosia	5	UPCOMING

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Registration Form

If you need help completing the online registration form, please give us a call at 2227 4470 or email us at [email protected]

In-House Training

The seminar is currently full and does not accept online registrations. If you want to be added to the waiting list please give us a call at 2227 4470 or email us at [email protected]

Trainer: Panayiotis Antoniou

Mr. Antoniou is a professional with 18 years-experience in the Banking and Insurance Sectors. He holds a Bachelor degree in Computer Science from State University of New York, USA, a Master’s degree in Information Systems from Virginia Tech, USA, a Master’s in Business Administration and a Master’s in Public Sector Management. He is also a member of the Project Management Institute and a partially-qualified member of the Association of Certified Chartered Accountants (ACCA). He is a holder of CySEC’s Advanced Certificate in Financial Services Legal Framework, a full member of the Chartered Institute for Securities & Investment (MCSI) specialising in Compliance & Risk and an approved trainer by the HRDA. He is currently the Head of Capital Adequacy Department of a large Advisory Group specializing in consulting regarding Regulatory and Risk related issues specializing in Basel III (CRDIV) matters (Pillar 1,2,3) and financial reporting of Investment Firms.

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CySEC Regulatory Fundamentals: Overview of the Investment Services Sector