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Description
Introduction
This module is part of the MiFID II training programme and focuses on the risk, compliance and regulatory framework applicable to financial instruments and investment services. It addresses the key principles governing investor protection, market integrity and risk management within the MiFID II environment. It is intended for professionals involved in investment services who need to understand the regulatory expectations in a structured and practical way.
Objectives
At the end of this training, participants will be able to:
· understand the main principles of risk, compliance and regulatory requirements under MiFID II
· identify the key obligations related to investor protection and market integrity
· recognise the main risks associated with investment services and financial instruments
· understand the role of compliance and risk management functions within regulated institutions
Programme
Module 7 of the MiFID II Training Programme focuses on the risk, compliance and regulation aspects of the instruments covered in previous modules. As such, the specific topics in this section include:
· Introduction
· Compliance Impact of MiFID II
o Client Categorisation
o Suitability
o Appropriateness
o Information to the Client
o Best Execution
o Conflicts of Interest
· Product Governance
· Risk and Risk Management
o Market Risk
o Credit Risk
o Liquidity Risk
o Operational Risk
· Fight Against Money Laundering and Financing of Terrorism: Focus on Market Abuse
o Due Diligence
o Risk-Based Approach
o Market Abuse
· MiFID Update
o MiFID Since its Inception
o New ESG Framework
o Relief Package
o MiFID II/MiFIR Amendments
o Digital Finance
o After MiFID II, Comes MiFID III, Right?
· Key Messages
· Bibliography and References
· Appendix
Target Audience
The persons concerned by the Training Programme are all persons placed under the authority of a professional (or acting on his behalf) subject to prudential supervision by the CSSF, i.e. individuals providing investment advice (“Advisory profile”) or information (“Information profile”) on financial instruments, investment services or ancillary services to clients.
Speakers
Experienced professional specialists selected on the basis of their in-depth knowledge of markets, risk and compliance under MiFID rules I and II, and ESMA criteria.
Language
English
Conditions
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.
Certification
This module is part of the MiFID II Certification. For more details about this Certification, please click here.
Location
L-1615 Luxembourg
Luxembourg
Sessions et horaires
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