Course Summary:

Although the Markets in Financial Instruments Directive has been highly successful since it was launched in 2007, the arrival of MiFID 2 in January 2018 has considerable potential to disrupt existing practices and market behaviours. This course will cover the investment business infrastructure carried forward from MiFID1, with particular emphasis on changes wrought by MiFID2 and their likely implications.

Course Contents:

Authorisation and scope of services

  • Definition of investment firm
  • Organisational requirements
  • Shareholder requirements
  • Capital requirements

Market Structure

  • Organised Training Facilities
  • Systematic Internalisers and RFQs
  • Positions limits and trading restrictions
  • High Frequency and Algorithmic Trading
  • Direct Market Access
  • Position Limits and Volume Cap Mechanism
  • Non-discriminatory clearing access

Investor Protection

  • Execution-only business
  • Inducements and brokerage commissions
  • Product design and target market definition
  • Provision of pre-trade information
  • Information on costs and charges
  • Independent and non-independent investment advice

Business Conduct

  • Conduct of Business rules
  • Client categorisation
  • Suitability and Appropriateness
  • Conflicts of Interest
  • Best Execution obligation
  • Order allocation
  • Tied Agents

Transparency and Reporting

  • Reporting of transactions
  • Pre-trade transparency
  • OTC transparency
  • Approved Publication Arrangements
  • Consolidated Tape Providers
  • Approved Reporting Mechanisms

Corporate Governance

  • Time commitments of directors
  • Fitness and probity of directors
  • Remuneration Policy

Supervision

  • Authorisation and supervision of non-EEA firms
  • Role and powers of the Central Bank
  • Role and powers of ESMA
  • Role and powers of host country supervisory authorities

Who should attend:

  • Chief Executive Officers
  • Board Directors
  • Strategic Planners
  • Compliance Officers
  • Financial Regulators

Cost:

€620 per delegate
(All training fees are VAT exempt)  

Details:

Date: Time:

Venue:

 
Thursday 28th November 2019 9:00 am - 5:00 pm The Spencer Hotel, Excise Walk,IFSC, Dublin 2
BOOK HERE NOW!

 

Alternative Payments:

To pay by bank transfer please make your booking via bookings@complianceireland.com including the course name, course date, your company name and contact details (including email address and telephone number). 

CPD Points: 

We apply for CPD accreditation for all of our courses. See our website for further details: http://www.complianceireland.com/training/cpd

Enquiries:

If you wish to enquire about a course before booking, please contact us at email@complianceireland.com

Please read:

For more information on our Terms & Conditions and Cancellation Policy and Privacy Statement please click the link.

Copyright © 2019 Compliance Ireland - A Trading Division of FSCom Ltd. All Rights Reserved.
Sir John Rogerson's Quay, Dublin 2, Ireland Tel: +353 (0)1 640 1986  Email: email@complianceireland.com