Regulatory Framework for PFS in Luxembourg - Fundamentals

Upon completion of this training, participants will be familiar with the legal framework and prudential obligations governing the professional activities of the PFS (Professional of the Financial Sector).

• Luxembourg's financial center
  

• The legal framework for PFS and the role of the CSSF
  

• Professional secrecy
  

• Combating money laundering, terrorist financing, and international financial sanctions
  

• Prudential rules applicable to specialized PFS and support PFS

• Rules of conduct applicable to PFS

• MiFID II principles and investor protection
  

• Governance, internal control, and risk management
  

• The Compliance function
  

• Market abuse
  

• Economic crime
  

• Cybersecurity and operational resilience (DORA)
  

• Personal data protection (GDPR)
  

• Other regulations and directives: AI Act, NIS2, and MiCA
  

• Sanctions and lessons learned from CSSF decisions
  

New employees, experienced employees, managers and control functions (Compliance, Risk Management, Internal Control, Internal Audit) of specialized PFS and support PFS wishing to acquire or consolidate their understanding of the regulatory, prudential and compliance framework applicable in Luxembourg.

At the end of the training, participants will receive a certificate of participation issued by the House of Training.