Training Objectives

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

Training Outline

• Basic characteristics of FX markets
• Instrument Specification in the markets
• The AML 4^th and 5^th 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

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

Training Style 

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.

CPD Recognition

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.

In-house Training

For groups within the same organisation, this course may be customized to meet any specific needs and delivered in-house.