MiFID II – Board and Senior Execs

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MiFID II – Board and Senior Execs

£450 + VAT
Half day workshop

WHO IS IT FOR

Chief Operating Officers, Chief Compliance Officers, Accountable Senior Executives, Board Members of small to medium sized investment firms.

OVERVIEW OF WHAT WE WILL COVER

The impact of Markets in Financial Services Directive (MiFID II), which became effective 3rd January 2018, brings far-reaching changes for Investment Managers. Many firms will have to report to regulators and/or publish their trades to the market for the first time, as well as being affected by new rules in a number of high impact areas. Given the breadth, depth and complexity of the changes, ensuring appropriate compliance and oversight presents a significant challenge. This workshop explores how firms can manage the risks particularly where precise requirements in the more complex areas remain uncertain.

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What are we going to cover?

During the workshop we will cover the following:

  • How to navigate effectively through MiFID II’s complexity
  • What the key MiFID II changes are and the regulator’s expectations
  • What the impact of regulation is on your conduct of business, organisational requirements
  • What management systems, controls and governance, surveillance systems to have in place
  • How to overcome reporting challenges, ensure fit-for-purpose, be confident in your attestations
  • How to move beyond the essential requirements of MiFID II to develop best practice
  • How to leverage information from MiFID II compliance to gain business insights and optimise processes

Who is this for?

Chief Operating Officers, Chief Compliance Officers, Accountable Senior Executives, Board Members of small to medium sized investment firms.

Who will deliver it?

TBC

About Us

MULTIPLE BOOKINGS AND IN HOUSE DELIVERY

Discounts are available for group bookings. If you have five or more delegates who would like to attend this workshop, it may be more cost effective to run it in-house. To find out more about group discounts and in-house delivery, please contact at info@thecompliancefoundation.co.uk.