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Provided by: Compliance LLC

Markets in Financial Instruments Directive (MiFID): Due Diligence for Directors and Executive Management

Compliance LLC
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
Course Level:basic through advanced
Duration:4 hours
Training Presented in:English
About The Training Provider: Compliance LLC
Compliance LLC - Compliance LLC is a leading provider of risk and compliance training, executive coaching and consulting in 36 countries. You may find all the necessary information at www. compliance-llc. com Distance Learning and Online Certification: http://www. compliance-llc. com/ Distance_Learning_Online_Certification. htm Compliance LLC, Areas of expertise: Risk and Compliance Training ...
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