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MiFID UPDATE - The Experience Of 2009 And The Challenges For 2010
THursday 18th February 2010
Copies of the Compliance Ireland papers from this seminar are now available for €20.
Click the 'Buy Now' button below to purchase seminar papers by credit card.
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Download the MiFID Seminar outline in PDF
Speakers:
Martin Moloney
Head of Markets Supervision, Financial Regulator
Kevin O'Doherty
Director, Compliance Ireland
Peter Oakes
Director, Compliance Ireland
Date & Time: Thursday 18th February 2010 - 8.00a.m. to 09.30a.m
Venue:Clarion Hotel, North Wall Quay, IFSC, Dublin 1
(http://www.choicehotels.ie/hotels/clarion/hotel?hotel=IE051 - map on this site)
CPD: up to 1.5 hours formal and informal CPD hours**.
Formal CPD by Institute of Bankers in Ireland as follows:
QFA - 1.5 formal hours;
CPD Member (including Registered Stockbroker) - 1.5 formal hours;
CPD Members of LIA - 1.5 formal hours;
LCOI - 1.5 formal hours;
Chartered Banker/Certified Banker (CeB) - 1.5 formal hours.
See also here
Seminar Papers:
Copies of the Compliance Ireland papers from this seminar are available for €20.
Click the 'Buy Now' button below to purchase seminar papers by credit card.
Topics: (including)
* Transaction Reporting requirements and experiences in 2009;
* Recent CESR developments;
* The scope of the current MiFID requirements;
* Examples of what the Financial Regulator looked for at firms in 2009 and what is likely to be asked for in 2010;
* Liquidity and bad debt concerns;
* Interaction with client asset requirements;
* CRD reporting experiences;
* ICAAP process;
* Firm complexity determinations;
* Outsourced services;
* Internal controls & fraud;
* Keeping business plans, operational/compliance/risk & internal audit procedures up-to-date;
* Risk management; and
* Enforcement and administrative sanctions regime.
** CPD award is subject to your professional body's policy
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End
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