The AML/CTF updated law as well as the MiFiD 2 regulatory framework were introduced during the first semester of 2018, with extensive requirements compared to previous versions of relevant regulatory obligations. Investment firms found themselves needing to anticipate all these requirements with enhanced personnel training and the upgrade of existing internal control mechanisms to face, as efficiently as possible, the new challenges that may lead to a change of their entire business model.
The need of training for the personnel working in the finance and professional services sector has become imminent for them to be in position to face the new challenges and to contribute, depending on their role, to the adaptation and the operation of the organization, according to the existing and forthcoming regulation. In parallel, the role of the Compliance function evolves progressively, and it has become a new challenging career opportunity at global level.
Training Objectives
By the end of the programme, participants are expected to:
Training Outline
Significance of Compliance
Basics for Execution venues
The basics about PRIIPS
Understand Regulatory requirements for performing
Guidelines to set an effective Compliance monitoring schedule using Risk based approach
MiFID II and Delegated Regulations effects on
Training Style
The programme is designed to deliver knowledge and enhance participants’ skills via short lectures and 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.
Who Should Attend
The programme will benefit professionals within the finance and professional services sector, particularly: