Cette formation est proposée sous forme de formation présentielle et à distance. En savoir plus

MiFID II - Risk, Compliance, Regulations (EN)


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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.


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.




Course Material

Please note that for environmental reasons no paper version of the training material will be provided for your training. The course material can be downloaded free of charge via your portal before the start of the course (download the Client Portal User’s Guide here). You will be able to view it on the screen of your mobile device or print it if necessary. If your registration has been made by a training manager of your company please contact him/her so that he/she can give you access to it or send it to you.


This module is part of the MiFID II Certification. For more details about this Certification, please click here.

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