The programme aims to deliver an overview of how the financial promotion and marketing compliance has changed with the most recent directives, circulars, and legislations. The course will not only elaborate on such issues but will also delve into the anti-money laundering legislation, via the 4th and 5th Directives, as well as the Best Execution overview.
Furthermore, the course also provides an overview of the basic characteristics of the FX markets and the instruments this covers, as well as a deeper understanding of how the markets work, providing participants with a competitive edge.
The programme is split in two days, beginning on the first day with the basic characteristics of the FX markets, along with a specification of the instruments and how this could assist in offering clients a better understanding of the markets. Furthermore, the anti-money laundering legislation is also overviewed.
On the second day, the course will explore the role of the regulatory framework and competent authorities for the protection of consumers and investors, as well as a review of the best execution legislation.
By the end of this programme, participants will be able to:
- Understand the characteristics of the main FX instruments and their specifications
- Understand how to monitor transactions and report suspicious transactions
- Know the role of the regulatory framework and competent authorities
- Understand the best execution and client information policies
- Understand how best execution fits into the MIFID II framework
- Basic characteristics of FX markets
- Instrument Specification in the markets
- The AML 4th and 5th Directives
- Monitoring and Reporting of Suspicious Transactions
- Regulatory Framework and Competent Authorities
- Guidelines for Financial Promotion and Advertising Policies
- Unfair B2C practices
- Best Execution and Client Information
The programme is designed to enhance the participants’ knowledge on the financial promotion and marketing legislation, via short lectures, practical examples and some case studies. Most of the training will be focused on providing a clear understanding of the topics, as well as providing real-life case studies and examples of the material covered in the short lectures.
This programme may be approved for up to 10 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.
Who Should Attend
The professional profile of the person who would most benefit from attending the course is:
- Sales professionals
- Support Professionals
- Compliance Officers and Managers
- Back Office Professionals