Over the past years Investments Firms have faced many challenges and undergone important regulative changes that have hugely impacted their everyday function. Perhaps, the largest and most recent has been the new regulatory framework on the provision of investments services (MIFID II) that came into enforce earlier this year.
MIFID II implementation has witnesses many challenges and this CPD programme will address the intricacies and complexities involved by looking at the major pillars of MIFID II, and how these have been applied in the working environment.
The programme will be delivered by a renowned expect who has vast experience and has worked extensively within the Compliance functions at an international level.
Furthermore, the programme offers an ideal opportunity to all those who are registered in the Public Register of Certified Persons and need to cover their full 15-hours of CPD as per the CySEC requirements.
Part 1: Product Governance
This part of the course will help those responsible for product management and compliance in investment firms make sure their product development and ongoing oversight framework and procedures meet regulators requirements in this critical area of conduct risk.
Part 2: Handling Client Complaints
This part of the course explores what MiFID II and various other regulators has developed as a notion of fair customer treatment. You will get a good understanding of the key themes of treating customers fairly and an appreciation of how fair treatment and MiFID II interact.
Part 3: Financial Promotion
This part of the course tries to bridge the gap, drawing on practical examples where things have not always gone as well as they might have done. Making extensive use of case studies and exercises participants will be kept up to date with the evolving rules, guidance and standards in this critical area of business and regulatory risk.
Part 4: Appropriateness testing and non-advised transactions
This part of the course is intended to suggest guidelines for the proper implementation of client appropriateness framework as per MiFID II regulation. The analysis focusses on the possibilities offered by the MiFID II framework. MiFID II, Article 25
Who should attend:
Anyone involved in product marketing, customer retention and support, design, risk management, compliance and corporate governance should attend. Also, people involved in marketing coming because they will be able to see how their role fits within product governance framework
For 3 registrations from the same entity, a standard 10% discount will apply. For over 4 registrations please contact us.