Training
Provided by Compliance LLC
Course
Title:
Markets in
Financial Instruments
Directive (
MiFID):
Due Diligence for
Directors and
Executive Management
Objectives:
This course has been designed to provide board members and executive management with the knowledge and skills needed not only to understand MiFID, but also to use MiFID as a competitive advantage
Target Audience:
This course is intended for potential, new and sitting directors and executive management. It is highly recommended for management consultants.
Duration:
4 Hours. It can be tailored to your needs.
Course Description
A. Overview
From the Investment Services Directive (ISD) to the Markets in Financial Instruments Directive (MiFID)
From Know Your Customer (KYC) to Client Classification (CC)
Best Execution
Suitability and Appropriateness
Transaction Reporting
B. Challenges
Conflicts of interest
Conduct of Business (COB) obligations
Obligation to execute orders on terms most favourable to the client
The impact of MiFID on corporate governance
The role of the board of directors and executive management
C. Opportunities
Freedom to provide investment services and activities in all the countries of the EEA using a single "passport"
The new role of a branch and the new access rules to regulated markets
Systematic Internalisers: Should we become a stock exchange?
D. MiFID and the World
MiFID and the European Economic Area (EEA)
MiFID and countries outside the European Economic Area
MiFID and the Offshore Financial Centers (OFCs)
MiFID and the USA
MiFID and the Reg NMS: Similarities and differences between the Regulation for National Market System (Reg NMS) in the United States and the MiFID in EU
E. MiFID and Alternative Investments
MiFID and Hedge Funds
Sophisticated onshore and offshore legal structures
Minimizing regulatory, operational and compliance risks
We will discuss how countries and firms use compliance as a competitive advantage. This is a very important part of this presentation.
Cost - Fixed fee
Fixed fees, fixed terms. You know the exact final cost. Everything is included in this price (expenses, flights, tax etc.)
Example: Fees for George Lekatis, General Manager and Chief Compliance Consultant of Compliance LLC, for presentations in Europe:
US$ 9,800 (and US$ 2,000 for each additional day) - final cost.
Everything is included in this price (expenses, flights, tax etc.)
For other trainers the fee may be different
| This is primarily ilt training |  | Contact Compliance LLC for more information |
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| Course Level: | basic through advanced | | Duration: | 4 hours | | Training Presented in: | English |
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