MiFID II: Investment Research, Investment Advice and Portfolio Management

The legal framework of MiFID II/MiFIR has applied since 3 January 2018. This new legislative framework strengthens investor protection and improves the functioning of financial markets making them more efficient, resilient and transparent. 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
• 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

Training Style

This workshop is designed to be participative throughout. The agenda will combine key formal presentations, case studies and syndicate 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.

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:

• Graduates aiming for a career in Portfolio Management
• New starters in Portfolio Management
• Financial Journalists
• FinTech professionals selling Products & Services to Portfolio Managers
• Professional Investment Advisers
• Marketing
• Compliance,
• Risk Management, Management
• 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.