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The legal framework of MiFID II/MiFIR has been in effect since January 2018. This new regulatory framework aims to strengthen investor protection and improve the functioning of financial markets making them more efficient, resilient and transparent. Investment Professionals need to fully understand this legislative framework, its implications and how it is applied within firms.
In this 5-hour workshop, we will examine and discuss the practical implementation as well as the application challenges of MiFID II relating to Investment Research, Investment Advice and Portfolio Management.
Training Objectives
Learn how MiFID II and Delegated Regulations affect:
- Investment Research
- Investment Advise
- Independent Investment Advise
- Portfolio Management
Learn how PRIIPS and Delegated Regulations affect:
- Information for Financial Instruments
- Disclosures on Costs and Charges
Understand Regulatory requirements for:
- Appropriateness Test
- Suitability Assessment
- Reporting to clients
Training Outline
- MiFiR – Regulation (EU) 600/2014
- MiFID II – Directive (EU) 2014/65
- Delegated Regulations
- Latest ESMA Q&A
Who Should Attend
The programme is suitable for all staff working or wishing to work in financial services including customer support, administration, finance and accounting, IT, customer services and sales. The course will greatly benefit several professions and functions including:
- New starters in Portfolio Management
- FinTech professionals selling Products & Services to Portfolio Managers
- Professional Investment Advisers
- Marketing
- Compliance,
- Risk Management, Management
- Research Analysts
- Technical personnel involved in the task of promoting and providing financial products who need to understand the different roles and responsibilities, as well as their regulatory constraints.
Furthermore, the programme will also be of interest to those who work with the industry such as corporate lawyers, accountants, and consultants.
Industry Expert | Demetris Nicolaou, CFA
Demetris Nicolaou is Executive Director and Head of Portfolio Management at Hanseatic Capital Management Ltd. He previously worked for Alpha Bank Limited as the Head of Asset Management and as the Co-Portfolio Manager for Emerging Markets Management LLC in the USA. Demetris holds a Bachelor’s degree in Finance & Economics and an MBA in International Finance, both from the American University Kogod School of Business. He is a CFA Charterholder and a holder of the Certificate in Company Direction by the U.K. Institute of Directors. He is also a Certified Trainer by the HRDA and a holder of CySEC’s Advanced Certification.
Training Style
This workshop is designed to be participative throughout. The agenda will combine key formal presentations, case studies and discussion sessions. There will be ample opportunity for participants to benchmark experiences with industry peers and raise issues of most concern to their organisation, either confidentially or in open session.
CPD Recognition
This programme may be approved for up to 5 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.
