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

• Investment and ancillary services as per MiFID II
• 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

Industry Expert | Alexis Zambas 

Alexis Zambas is an experienced financial services professional with more than 10 years of experience, during which he worked in large organisations such as PwC Cyprus and BrokerCreditService (Cyprus Limited) and has undertaken various positions including of the internal auditor, compliance officer, trainer, risk consultant, data protection officer and others, in regulations such as MiFIDII/MiFIR, MAR, EMIR, SFTR, GDPR, and more.

Throughout his experience, he provided consulting services to major investment firms and financial institutions in Cyprus and has successfully implemented new regulatory frameworks such as MiFIDII/MiFIR, SFTR and GDPR within organisations.

Finally, he has provided numerous trainings on all major regulatory frameworks to both internal as well as external audience.

He is currently serving as the Head of Compliance for a Cyprus Investment Firm

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 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.