Regulatory Requirements for Investment Research, Investment Advice and Portfolio Management
The MiFID II/MiFIR regulatory requirements have applied since 3 January 2018. This new legislative framework strengthens investor protection and improves the functioning of financial markets making them more efficient, resilient and transparent.
In this workshop participants will have the opportunity to examine and discuss the practical implementation, as well as the application challenges, of MiFID II relating to Investment Research, Investment Advice and Portfolio Management.
Training Objectives
By the end of the programme, participants will:
Understand the concepts Introduced by PRIIPS regulation
Recognize major requirements before during and after providing a MiFiD 2 service
Understand the basics about Investments
Learn how MiFID II and Delegated Regulations affect Investment Advice and Portfolio Management
Understand the basics for Social/mirror/copy Trading
Training Outline
The concepts introduced by PRIIPS regulation
KID Structure
Product Governance test for companies
Product Governance test to clients
Major requirements before, during and after providing a MiFiD II service
Appropriateness test
Suitability Assessment
Suitability report
Safeguarding of Client Assets
Inducements
Investments Basics
What is Investment Research?
What is Investment Advice
Principles of Investment Advice
What is the difference between Investment Research and Investment Advice?
What is Portfolio Management?
Who is eligible to provide those services?
MiFID II and Delegated Regulations effects on
Investment Recommendations
Investment Research
Investment Advise
Independent Investment Advise
Portfolio Management
Information to Clients before during and after the service
Social/Mirror/Copy Trading
What is social trading?
What is mirror trading?
What is copy trading?
Investment Advice or Portfolio Management or both or none?
Training Style
The programme is designed to deliver knowledge and enhance participants’ skills via short lectures and discussion sessions. There will be ample opportunity for delegates to benchmark experiences with industry peers and raise issues of most concern to their organisation, either confidentially or in open session.
Who Should Attend
The programme is ideal for:
Professional Investment Advisers
Compliance Professionals
Risk Management Professionals
Senior Management
Marketing Professionals
Portfolio Management Professionals
FinTech professionals selling Products & Services to Portfolio Managers
Internal Lawyers
External Lawyers, Accountants and Financial Consultants
Other Professionals involved in the task of promoting and providing financial products and who need to understand the different roles and responsibilities, as well as their regulatory constraints
Regulatory Requirements for Investment Research, Investment Advice and Portfolio Management
For 3 registrations from the same entity, a standard 10% discount will apply. For over 4 registrations please contact us.
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