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


  • 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


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


Date: Time:


Wednesday 22 April 2020 9:00 am - 5:00 pm The Spencer Hotel, Excise Walk,IFSC, Dublin 2


Thursday 19 November 2020

9.00am - 5.00pm The Spencer Hotel, Excise Walk,IFSC, Dublin 2 BOOK HERE NOW!


Alternative Payments:

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

CPD Points: 

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