The legal framework of MiFID II/MiFIR has been in effect since 3 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.
- MiFiR – Regulation (EU) 600/2014
- MiFID II – Directive (EU) 2014/65
- Delegated Regulations
- Latest ESMA Q&A
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.
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.
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
- 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.