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 Algormithmic 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 for 1st attendee
€550 for 2nd attendee from same firm attending same day
(All training fees are VAT exempt)  

Details:

Date Time Venue
Wednesday  22nd November  2017 9.00 am - 5.00 pm  38/39 Fitzwilliam Square, Dublin 2
Option 1
 

Alternative Payments:

To pay by bank transfer/cheque please make your booking via bookings@complianceireland.com including the course name, course date, your name and contact details (including email address and telephone number). We will email you with an invoice and course details which includes the details of how to make payments.

Enquiries:

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

 

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