Training Objectives

By the end of the programme participants will be able to:

• Understand the primary principles of the current EU regulatory frameworks concerning D.O.R.A, MICAR, ESG, Transparency and Reporting
• List the D.O.R.A. Principles and Key Requirements
• Explain the MICAR Basic Principles
• Name the Classes of CASPs and indicative requirements
• Apply the relevant provisions where applicable
• Understand the regulator’s expectations in the EU based current EU regulatory frameworks concerning D.O.R.A, MICAR, ESG, Transparency and Reporting
• Apply best practises
• Carry out a risk-based approach assessment and assess the regulatory risk.
• Define market manipulation
• List the Transparency Law requirements
• Describe the suitability and appropriateness assessment

Training Outline

EU Digital Finance Strategy

D.O.R.A

• Principles and Key Requirements
• Cyber Threats and the importance of mitigating it

MICAR

• Basic Principles
• Risk Control

Registration of Crypto Asset Service Providers (CASPs)

• Core requirements
• Classes of CASPs and indicative requirements
• Regulator’s expectations
• CySEC Registration & Legal Issues

Latest developments in the laws and regulations concerning, involving or affecting fintech

• Challenges, including legal certainty, privacy of data, threats and other considerations
• Risk and regulatory compliance, the future of FinTech

ESG Regulation Framework

• EU Sustainable Finance Disclosure Regulation (SFDR)
• EU taxonomy for sustainable activities (Sustainable finance, Greenwashing updates)
• Corporate Sustainability Reporting Directive (CSRD)
• Corporate Sustainability Due Diligence Directive (CSDDD)
• Non-Financial Reporting Directive (NFRD)

Markets Regulatory Framework, Transparency and Reporting

Market Abuse

• Insider dealing
• Market manipulation
• Recent developments

Investor protection

• Product governance
• Suitability and appropriateness assessment
• Independent advice
• Recent developments

Markets in Financial Instruments Regulation (MiFiR)

• General Principles
• Requirements for obliged entities

Transparency Laws

• Transparency Requirements
• Reporting and Disclosures

Case studies and real-life examples

Who Should Attend

The programme is ideal for

• Compliance Officers / Managers and their Deputies
• Managers with responsibility for internal compliance controls
• Legal, Audit, Risk, Operations and IT Specialists
• Risk Managers
• Staff working in risk functions
• Internal & External Audit Staff
• Regulatory Representatives
• AML Officers
• Accountants
• Lawyers

Training Style 

The programme has been thoughtfully designed with the aim of delivering comprehensive knowledge and enhancing participants’ skills. It achieves this through a combination of concise lectures on relevant legislations and guidelines, as well as engaging elements such as case studies, practical examples, and real-life scenarios.

By the conclusion of the programme, participants will have, not only, expanded their knowledge base but also developed practical skills that they can readily implement in their professional roles. The acquired knowledge and enhanced skill set will serve as valuable assets, equipping participants to navigate complex regulatory environments, make informed decisions, and contribute to the overall success and stability of their organisations.

CPD Recognition

This programme may be approved for up to 15 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.