MiFID II Workshop for Funds

£295.00 +VAT

Clear

This course can also be presented face to face in-house or via live in-house webinar.

A Half Day Training Course

MiFID II Workshop for Funds Course Objectives

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

MiFID II Workshop for Funds Course Content

Transaction reporting

  • Understand the 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
  • Paying for research
  • How do you price research?
  • Governance and control
  • Technology impacts
  • Industry implications

Best Execution

  • Gathering the data for the first RTS 28 report
  • Publishing the RTS 28 data on your website
  • Reviewing cases where price or liquidity were not factors
  • Aligning best execution policies with reality

Cost & Charges

  • A conceptual 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

  • How will this affect current MiFID II implementation to date
  • MiFID II – version two

Background of the Trainer

During his banking career at UBS and Nomura, the trainer gained invaluable experience in a variety of front office and training functions, spanning across both financial markets and compliance. The trainer brings a unique blend of market experience, technical knowledge and regulatory know-how to offer leading workshops designed to provide practical, flexible and commercial Compliance training solutions to clients.

MiFID II Workshop for Funds Course Summary:

Are you still miffed about MiFID II, much ado about nothing?

Now four months on since go live and many funds are still wondering whether they did enough to prepare and more importantly what else they still need to be focusing on. So, forget about disbanding those working groups, project teams and SMEs and returning to business as usual, MiFID II is the new BAU!

Much has been done to prepare for MiFID II but much is still left to do. Firms must continue to refine, systematise and focus on how MiFID II can help you position many of the requirements with your clients. Let’s not forget that among the regulatory melee much is positive for your clients, think cost and charges, increased transparency and unbundling. Whilst it will take time to fully implement, these changes are fundamental to improving and developing your ongoing client relationships.

0/5 (0 Reviews)
Select Your Course Date

5 November 2018