Objectives

The objective of the product governance requirements is to ensure that firms, which manufacture and distribute financial instruments and structured deposits, act in the clients’ best interests during all stages of the life-cycle or products or services.  This one day workshop will provide delegates with an overview of these changes, impact assess what these requirements practically mean for firms and the risks that firms will need to consider while preparing for ‘day 1’ the 3^rd January 2018.

Attending this workshop will enable you to:

• Explain the importance of the product governance requirements, the key legislative changes and how they inter-relate with the wider regulatory agenda.

• Present the new requirements for manufacturers and distributors and the impact on suitability and appropriateness, providing information to clients, inducements, remuneration and other conduct requirements.

• Clarifying key regulatory principles that firms should review their MiFID II framework against including governance; management oversight; roles & responsibilities; and process.

• Identify significant operational changes including updating technology requirements.

Workshop Style: 

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.