Training Objectives

• To identify the key investor protection measures embedded in MiFID II, PRIIPs, SFDR, MiCA and BMR;
• To understand how these regulations promote transparency, suitability, risk, disclosure, and fair treatment of retail investors;
• To recognize potential compliance risks; and
• To apply the core rules and principles to real- life scenarios.

Training Outline

1. MiFID II : Core Protections
– Suitability & appropriateness tests
– Best execution, cost disclosures, product governance

2. PRIIPs: Clear Product Disclosure
– Key Information Document (KID)
– Scope and content (costs, risks, returns)

3. SFDR – ESG Transparency
– Disclosure at entity and product levels
– Protecting investors from greenwashing
– ESG preferences and product labelling

4. MiCA : Crypto-Asset Safeguards
– Key investor protections in crypto markets
– Whitepapers, asset custody, and conduct rules
– Retail investor risk mitigation

5. BMR
– Reliable indices and benchmark integrity
– ESG benchmarks and transparency
– Disclosure duties for benchmark users

Training Style

The course shall include the presentation and analysis of the regulatory framework providing practical examples. The programme is designed to deliver knowledge and enhance participants’ skills via case-studies and practical examples.

Participants will benefit from customised feedback at the end of the programme and take away the knowledge gained to be transferred at 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.

Who Should Attend 

• Compliance Officers
• Investment Advisors & Portfolio Managers
• Legal & Regulatory Affairs Professionals
• Product Governance & Risk Officers
• Financial Analysts & Research Professionals
• Fund Managers & Asset Managers
• Crypto-Asset Service Providers
• Back-office and Client Documentation Teams
• Internal Auditors
• Regulatory Consultants
• Policy Makers
• Training Managers in Financial Institutions+

In-house Training

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