MiFID II/MIFIR - Investor Protection Workshop
£757.12 – £1,217.34
MiFID II/MIFIR - Investor Protection Workshop

MiFID II/MIFIR - Investor Protection Workshop

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Edinburgh Training and Conference Centre

16 St Mary's Street

Edinburgh

EH1 1SU

United Kingdom

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The intention of MiFID II is to strengthen Investor Protection. Whereas delivery teams are facing technical and scope challenges, not all of the business stakeholders are equipped to support the delivery. Forte Markets conducted a recent study of a UK FI and identified that the front line, 'The Business', were unaware of full impact of MIFID II. For example, best execution, investor protection, and the scope of Treasury products that now fall into the MIFID II space were not fully understood.

Experiencing the scope and complexity of complying with the Investor Protection changes, firms are rushing to catalyse their efforts to prepare for compliance to avoid the wrath of the regulators but also to stay ahead of their competitors in ever more competitive markets.

WORKSHOP OBJECTIVES:

Understand the Overall Structure of MIFID II

Deep Dive into the Investor Protection Components of MIFID II

Understand the Changes to Client Classifications

Understand the Changes to Suitability and Appropriateness Checks

Understand the Changes to Product Governance

Understand the Changes to Offerings & Inducements

COURSE CONTENT:


MIFID II Overview / Summary:

- List The Main Themes of MIFID II

- Where does Investor Protection Fit into the New Regulation ?

Investor Protection Overview:

- Independent Advice - Key Changes

- Categories of clients

- Client Notifications

- Suitability Assessments - Key Changes

- Appropriateness Assessments - Key Changes

Product Governance:

- Product Manufacturers vs Distributors

- Cross Selling Guidelines

- Key Challenges

PRODUCT GOVERNANCE WORKSHOP — Case Study

Conflicts & Inducements:

- Conflicts of Interest—MiFID I vs MiFID II

- Requirements

- Inducements—MIFID I vs MIFID II Requirements

- Key Challenge: Ban on Commission/Rebates

Investor Protection Confirmed Readiness (Hands On Workshop Session)


How do you actually prove to the regulator that you are ready for MIFID II Compliance Investor Protection Rules?


Traceability of the MIFID II Rules across:

- The Appropriate Compliance Policy

- The Target Operating Model

- Technology Changes


DELIVERY TIMELINES / PLAN ON A PAGE

END OF WORKSHOP

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Edinburgh Training and Conference Centre

16 St Mary's Street

Edinburgh

EH1 1SU

United Kingdom

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