Access to training
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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.
- This e-learning course is NOT a certification, but a reminder to the MiFID II certification. It is mainly targeting candidates who are already certified MiFID II. Participants will receive a certificate of participation at the end of the module.
- The language is in English with subtitles in French (to be manually activated).
- 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 governance
- Product intervention measures
- Synthesis and main points of attention to keep in mind
- Final assessment (and certificate)
From 2 to 4 h (licence remains active for 6 months)
Support de cours
Pour des raisons de respect de l'environnement veuillez noter qu'aucun support papier ne vous sera fourni lors de votre formation. Votre support de cours peut être téléchargé gratuitement avant le début du cours via notre portail client (télécharger ici le guide du portail client). Vous pourrez ainsi le consulter sur l’écran de votre appareil mobile ou l'imprimer en cas de besoin. Si votre inscription a été effectuée par un responsable formation de votre entreprise veuillez le contacter pour qu'il puisse vous y donner accès ou vous l'envoyer.