Training Objectives

By the end of the programme, participants will be able to:

• Update their knowledge in relation to the steady state of MiFID II and MiFIR requirements 
• Examine the way they should apply them 
• Review their internal arrangements, if appropriate 
• Solve questions they may have in relation to the implementation of MiFID II and MiFIR 

Training Outline

• Client categorisation 
• Appropriateness and Suitability  
• Product Governance 
• Reporting Obligations 
• Best Execution 
• Best Execution obligation for Retail and Professional clients 
• RTS28 reporting 
• RTS27 reporting  
• Transaction reporting 
• Post-trade transparency  
• Pre-trade transparency  
• Trading obligation 

Who Should Attend

The programme is ideal for:

• Senior Managers in Investment Firms 
• Compliance Officers 
• Internal Auditors 
• Internal Lawyers 
• External Auditors, Lawyers and Financial Consultants  

Training Style

The programme is designed to deliver knowledge and enhance participants’ skills via short lectures and practical examples. Participants will also benefit from a Q&A session at the end of the programme and take away the knowledge gained to be transferred to 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.

In-house Training

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