Regulatory Basics for CIFs

In a modern and dynamic corporate environment, the professionals are striving to optimise their organisational performance via complying with regulatory requirements coming from both European Union as well as Cyprus. The regulatory framework surrounding the financial operations is becoming stricter year by year. MiFID 2 regulatory framework got established, 6th AML Directive has been issued, existing AML law has been updated, MAR came into force along with many other regulations and directives that affect directly and indirectly the financial organisations. This new regulatory framework aims to strengthen, at least, the investor protection and improve the functioning of financial markets, making them more efficient, resilient and transparent.

This 10-hour programme targets to provide a comprehensive understanding of significant regulations surrounding the financial sector, in order to support the professionals in their day to day operations.

Training Objectives

• Recognise the Regulators and the Supervisory Authorities
• Recognise how MiFID II and Delegated Regulations affect the following areas:
  • Safeguarding of client assets
  • Pre and Post-trade information to clients
  • Investment Research
  • Investment Advise
  • Portfolio Management
  • Best Execution

• Understand the significant implications of Market Abuse
  • Market Abuse Framework
  • Inside information – insider dealing and market manipulation definitions and examples
• Learn how PRIIPS and Delegated Regulations affect:
  • Information for Financial Instruments
  • Costs and Charges
• Understand Regulatory requirements for:
  • Appropriateness Test
  • Suitability Assessment
  • Reporting to clients
• Learn the Basics for AML such as:
  • The major predicate offences recognised by the 6^th AML directive
  • The required documents and steps during the KYC process