Training Objectives

• To present the investor protection rules according to MiFID II focusing on the most important updates, such as the recent amendments of MiFID II, the recent ESMA Guidelines on certain aspects of the MiFID II compliance function requirements, the ESMA Guidelines on the suitability and the appropriateness assessment, the ESMA updates on investor protection under MiFID II; 
• To analyse the practical implications of these requirements; 
• To provide guidance concerning compliance with the new requirements. 

Training Outline

• Product Governance Requirements
• MiFID II remuneration requirements
• Suitability and appropriateness assessment
• MiFID II suitability requirements
• MiFID II appropriateness and execution-only requirements
• Recommendations on supervision of cross-border activities of investment firms
• Risks of crypto-assets

Training Style

The course shall include the presentation and analysis of the regulatory framework providing practical examples. The programme is designed to deliver knowledge and enhance participants’ skills via case-studies and practical examples.

Participants will benefit from customised feedback at the end of the programme and take away the knowledge gained to be transferred at their workplace.

CPD Recognition

This programme may be approved for up to 6 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 

• Legal advisors
• Compliance officers
• Any person who provides investment services

In-house Training

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