MiFID II - Risk, Compliance, Regulations (EN) (virtual classroom)

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  • Icon 15.10.2020
  • Icon 8 h + 1 h d'examen
  • icon Formation à distance
  • Icon English
  • Icon BQ136CJ
240,00 EUR

*

(+3% TVA)
*Prix d'inscription de base, variable selon options choisies.

Virtual classroom


In response to the current situation related to the coronavirus COVID-19, the House of Training is delighted to announce that this training is now accessible as a virtual class.


This format, perfectly adapted to any staff member aiming to develop their skills remotely, has various benefits:

  • It allows you to train yourself while avoiding any physical movement

  • Maximum efficiency is guaranteed due to an adaptation of session durations according to this kind of training

  • Regular interaction between the trainer and the learners is assured thanks to modern technology tools

Registration is easy!


If you wish to attend this training, please click on “S'inscrire” and choose “virtual classroom”.


In order to conveniently attend the virtual classroom, kindly review the following recommendations.

Programme


This module focuses on the risk, compliance and regulation aspects of the instruments covered in previous modules. As such, the specific topics in this section include:

  • Product governance processes under MiFID II – Target market assessment (with target market categories, client’s best interests rules, target market disclosures), Key points for product manufacturers (guidance notes, acquisition channels, etc.) and distributors (distribution strategies, third-country manufacturers, etc.), Proportionality (simple products, wholesale markets, secondary markets), Distributor feedback (aggregated/product-by-product feedback, non-advised sales), Portfolio diversification, Acquisition channels
  • Approval process - The approval process for each of the instruments mentioned above
  • Investor protection - The measures taken to protect the investors in each instrument type
  • Market transparency - A description of how transparent the market for each instrument is, i.e., does the investor understand how the market works
  • Risk management - The approach to risk management in the relevant market; the effectiveness of risk management
  • AML/CFT - Measures taken to prevent money laundering and financing of terrorism in the corresponding market; areas that still pose problems
  • Market abuse - Measures taken to prevent market abuse (e.g., insider trading, market manipulation) in the relevant market

Certification


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

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.

Lieu

Télécharger le planning PDF

jeu. 15.10.2020 à 08h30

icon 4H

MiFID II: Risk, Compliance, Regulations (Module 7 certification)

  • icon E-Learning

ven. 16.10.2020 à 08h30

icon 4H

MiFID II: Risk, Compliance, Regulations (Module 7 certification)

  • icon E-Learning
  • Durée

    icon

    3 h

  • Lieu

    icon

    Chambre de Commerce Luxembourg

Thu 15.10.2020

08h45

Thu 03.12.2020

08h45

Tue 08.12.2020

08h45

Thu 10.12.2020

08h45

Tue 15.12.2020

08h45

Thu 17.12.2020

08h45

Tue 12.01.2021

08h45

Tue 19.01.2021

08h45

Tue 26.01.2021

08h45

Thu 28.01.2021

08h45

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