MiFID II: Digital Media and Compliance for Investment firms

Even with MiFID II implemented, many firms are still struggling with the extent of their responsibilities to comply with the updated legislation. The new and ever-changing world of digital media offers tremendous opportunities – and significant risks – to financial services organisations, and something of a headache to regulators.

Specifically developed for Compliance, Legal and Marketing specialists in CySEC regulated firms, this timely course will bring you up to date with the latest regulations, guidance and approach to digital media and examine the implications for your marketing activities and compliance controls.

This course will enable you to:

• Analyse how Financial Promotion requirements apply to digital media
• Review the regulators approach to the supervision of ‘new’ and digital media, including the most recent developments and communications
• Examine digital media risks, your organisation’s risk appetite in this area and the MI and controls appropriateto managing and mitigating these risks
• Consider digital media in the context of key regulatory themes and priorities
• Benchmark your approachagainst industry best practice and regulatory expectations

Content

• The real world – Ordinary law, good taste, company procedures
• Financial promotions and client communications regulation
• MiFID II and associated materials
• Defining promotions – does it matter?
• Best interests rule
• Clear, fair & not misleading – its meaning
• Describing risk
• Specific Digital Media issues
• The UK’s FG 15/4 Social media and customer communications
• Basic systems and controls and risk management including records

Who should attend

This course will be of value to Compliance, Legal and Marketing specialists, as well as Senior Managers with oversight responsibility for Compliance, Marketing and Corporate Communications.