Mifid briefing
Course
In
Description
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Type
Course
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Start date
Different dates available
Background
The Markets in Financial Instruments Directive (MiFID) is now effective. MiFID is the successor to the Investment Services Directive. It substantially revised the Investment Services Directive and has established new European regulatory standards.
Implementation has required major changes to the FSMA and the FSA Handbook. The course focuses on key aspects of the Directive, the changes to the FSMA and the FSA Handbook and the practical issues and challenges to be managed by compliance executives and senior management.
Delegates
Compliance Executives and Senior Management from financial services companies impacted by MiFID
External Auditors and Internal Audit executives (CPD/CPE credit)
Lawyers requiring an overview of MiFID (CPD credit)
Facilities
Location
Start date
Start date
Reviews
Subjects
- Compliance
- Financial Services
- FSA
- Audit
- Investment
- Credit
- Financial
- Project
- Trade
- Financial Training
Course programme
-Introduction
-Lambussy Process
-Timetable
-Scope
Financial Instruments
Investment services and ancillary services
Types of firms impacted
-Home/host regulation and passporting rights
-Impact on the FSMA
-Changes to the FSA handbook for example
Client classification
Client documentation
Suitability
Record keeping
Best execution
Pre and post trade transparency
Conflicts of interest
Client Assets
Outsourcing
Compliance arrangements/independence
-Managing the MiFID project
-Training
Todays Date: 8 September 2017
Duration - day
Mifid briefing