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MiFID II Workshop for Funds

A concise workshop covering all facets of MiFID II

Global Mobility Solutions Training Course

A half-day live webinar

  • A concise workshop that covers the key facets of MiFID II
  • Still have questions on key topics, looking to benchmark against your peers? This workshop allows you to explore and close out identified knowledge gaps within your organisation.
  • What next for MiFID II? What impact has Brexit had in relation to MiFID II and how do the 2021 Quick Fix amendments impact you?
  • Includes industry best practice and FCA guidance

  • Know and understand the current transaction reporting requirements
  • Understand the requirements around funding research and potential conflicts of interest.
  • Review the trading venue analysis requirements and how these tie in with Best Execution
  • Appropriate disclosure of the impact of cost and charges
  • Recognise the Knowledge and Competency changes to your firm

Transaction reporting

  • Understand both FCA and ESMA requirements for transaction reporting and how to stay compliant
  • Be aware of all the changes introduced by MiFID II
  • Understand the importance of correct classification and how to handle different scenarios 

Research

  • Defining which services should be categorised as research
  • European loosening of research requirements
  • Paying for research
  • How do you price research?
  • Governance and control
  • Industry implications
  • Impact of FCA thematic review 

Best Execution

  • Gathering the data for the RTS 28 report (note: RTS 27 suspended)
  • Publishing the RTS 28 data on your website
  • Cases where price or liquidity were not factors
  • Aligning best execution policies with practical considerations 

Cost & Charges

  • An overview of the costs and charges landscape
  • Actual costs and charges vs estimated costs and charges
  • What you need to be focusing on 

Knowledge & Competency

  • ESMA guidelines and mapping for K&C
  • Assessment of who is in scope
  • Information givers
  • Information providers
  • Ongoing considerations 

The Impact of Brexit

  • The European Union (Withdrawal Agreement) Act 2020
  • Guide to MiFID II impact in the UK post-Brexit
  • ESMA’s post-Brexit regime
  • MiFID II – 2021 Quick Fix amendments

With over 20 years of training experience in financial services, the trainer is well placed to support you across a range of compliance-related topics.  He is a former Head of Education for HSBC covering the UK and Europe, responsible for regulatory and financial crime related compliance learning.  His time at HSBC was during intense scrutiny from regulators and government functions during the bank’s Deferred Prosecution Agreement.

Other roles include leading the Monitoring and Testing programme for a UK Wealth Manager, and Senior Vice President responsible for Global Risk & Compliance training at a US-based bank.  He also worked in the Insurance Firms division at the Financial Conduct Authority (in the FSA days) where he was the divisional expert for the rules and outcomes required under the Training & Competence handbook.

The HSBC role, along with five years at Barclays in their Private Clients and Wealth functions, has seen the trainer work with retail, commercial, wholesale and private banking channels.  Since leaving HSBC, he has worked with the compliance, HR and operational teams of firms to enhance their regulatory understanding, as well as delivering content across private equity firms, investment houses, banks and wealth managers.  He regularly delivers core programmes for TISA and the Investment Association.

He is a former member of the Investment Management Association Training & Education Committee and won the Thomson Reuters award for “Most Effective Compliance Training at a Regulated Firm” in 2010.

Has your focus on all things MiFID II waned since implementation?  Do staff retain awareness of the current rules and can you comfortably evidence that?

In the new world post-Brexit and with a global pandemic backdrop, many funds are still wondering whether their current arrangements show they did enough to prepare for the changed expectations under MiFID II.  Is now the right time to review your arrangements in light of the new landscape and identify areas which can be streamlined or reinforced?  Does business as usual deliver compliance with MiFID II requirements?

We will explore the regulatory requirements not just from a compliance perspective but also from a commercial perspective.  Let’s not forget that among the regulatory melee, much can be positively framed for your clients – think cost and charges, increased transparency and unbundling.  Have your policies and procedures got the right balance between both compliance and commercial value?

Target group

  • All staff within authorised funds
  • CCOs and Compliance staff
  • Operations and support staff

Format

  • Duration is as a half day classroom workshop
  • It can also be made available as a series of webinars

"Currently carrying out a compliance monitoring review of MiFID II implementation therefore the course was useful."
Number of places:

£695.00

Per participant
Discounts available for multiple place booking find out more
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