MiFID II – Compliance Professionals

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MiFID II – Compliance Professionals

£450 + VAT
Half day workshop

WHO IS IT FOR

Compliance professionals 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, firms have put in place interim solutions, and/or firms are looking to develop best practice.

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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 scope and content is of the key MiFID II changes and regulator’s expectations
  • What the best execution requirements, practices, treatment of different trading scenarios are
  • Transaction reporting requirements covering controls, streamlining validation/reconciliation processes, quality reform
  • Data management, record keeping, trade and communication surveillance systems requirements
  • How to overcome reporting challenges and ensure fit-for-purpose for your firm
  • Conduct risk management, firm-wide culture requirements and best practice

Who is this for?

Compliance professionals 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.