This e-learning course, in English subtitled in French, is designed for natural persons giving investment advice or providing information about financial instruments, investment services or ancillary services to clients on behalf of a professional and as defined in MiFID II.
The completion of this e-learning course will demonstrate that you possess an appropriate qualification and that you maintain and update your knowledge and competence, acquired with the Certification, by undertaking continuous professional development and training for your appropriate qualification (as required by CSSF Circular 17/665).
At the end of this e-learning course, you will have gained an in-depth knowledge of some specifics of MiFID II, thematics being currently matters of concern both for investment firms and national competent authorities.
This e-learning course has been designed in an entertaining and interactive way mainly based on the experience of its creator: objectives of each set of sequences during the training and short quizzes aim at keeping you aware!
Each sequence has been supplemented with legal references to European Directives, European Regulations, CSSF Circulars… in order to provide you with some additional guidance and facilitate your personal investigation when needed.
Scope of application and legal references
Perspective 1: Investors
Clients categorisation / Suitability and Appropriateness / Complex vs non complex financial instruments / Robo advisor
Information to clients
Perspective 2: Investment firms
Record keeping – Recording of telephone conversations and electronic communication
Safeguarding of clients' assets
Best execution and client orders handling
Inducements and investment research
Perspective 3: Markets & Products
Product intervention measures
Synthesis and main points of attention to keep in mind
Final assessment (and certificate)
+/- 2 h (licence remains active for 6 months)
Access to training
To order your licenses at a price of 100 euros/licence, please send a request to firstname.lastname@example.org.
You will receive the steps to follow.