CySEC Regulatory Fundamentals: Overview of the Investment Services Sector
This seminar will cover key topics regarding the organizational and regulatory framework of the Cypriot Investment Firms (CIFs) which will assist participants in understanding and implementing the requirements, whilst it will serve as a platform for discussion on relevant challenging matters.
The course will cover the fundamental aspects of the CIFs in terms of the regulatory framework, the operations, the responsibilities of the each department, 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)
DATES: 13 April
DURATION: 5 Hours
CPD UNITS: 5
LOCATION: EIMF Premises, Nicosia
TIME: 15:00-20:00
FEES: €180 + VAT
| Start Date | Course Title | Location | CPD Units | Status |
|---|---|---|---|---|
| 12 Feb | Financial Product Governance and Product Development | Limassol | 5 | COMPLETED |
| 13 Feb | Best Execution - Meeting Regulator Requirements | Limassol | 5 | COMPLETED |
| 22 Mar | MiFID II/PRIIPs: Investor Protection, Product Governance and Promotion of Investment Products | Limassol | 15 | COMPLETED |
| 13 Apr | CySEC Regulatory Fundamentals: Overview of the Investment Services Sector | Nicosia | 5 | COMPLETED |
| 23 Apr | Market Abuse – A comprehensive guide | Limassol | 5 | UPCOMING |
| 22 May | Promotion of Financial Products – a Regulatory Approach | Nicosia | 5 | UPCOMING |
| 23 May | Handling Clients Complaints | Nicosia | 5 | UPCOMING |
Registration Form
If you need help completing the online registration form, please give us a call at 2227 4470 or email us at info@eimf.eu
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 info@eimf.eu
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.