Training Objectives

By the end of the programme, participants will:

• Understand the EU Institutional decision-making process from the EC proposal stage on the EU  legislative packages to ratification by the EU Parliament and Council
• Identify the various key areas of the EU financial services regulatory agenda that will have a direct impact on the firm’s products, services, and the processes associated  with payments, settlements, trading and clearing activities
• Develop an awareness of the role and be able to distinguish their mandate and powers of the EU supervisory authorities (EBA, EIOPA and ESMA), the ECB, the EC, ESRB).
• Build-up a skills-set to enable the firm to navigate the proliferation of EU regulation, the complexity linked to the UK FS sector no longer being part of the EU, relations between the EU and the USA.

Training Outline

• Strategic overview of the key EU financial services regulatory developments
• Revisions to MiFID, AIFMD and UCITS
• New EU AML regime and AML Authority
• The EU retail investor regulatory overhaul: suitability testing, inducements, digitalisation of financial products, costs and fees, etc
• Fund managers costs and fees of retail investment products in the EU

Who Should Attend

The course is addressed to:  

• COOs
• CFOs
• Regulatory compliance officers
• National supervisors
• Financial services trade bodies
• Chief legal officers
• Internal ITC specialists
• Chief data officers

Training Style 

The programme is designed to deliver high-level knowledge and insights into the EU financial services regulatory agenda and developments. It will strive to enhance participants’ skills and knowledge via lectures supported by power-point presentations and practical examples.  The training style is both training-focused, involving a combination of presentation and real-live examples, but also learner-focused, where participants are encouraged to raise questions, seek clarifications and share their opinions from their different perspectives and engage in an exchange of views and personal professional experiences.

CPD Recognition

This programme may be approved for up to 5 CPD units in Financial Regulation.  Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.