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MiFID Compliance – Key Areas & Lessons Learnt
We offer a unique opportunity to complete this programme remotely via a live virtual and interactive class on 17 Nov 2023 conducted by a senior City expert with over 20 years of practical experience working with some of the major financial organisations.
This one-day course conducted by a City expert provides a look at MiFID and its impact on Banks, Broker-Dealers and Asset Managers, from front to back office. You will learn about the key areas including the scope of the regulation, trade and transaction reporting requirements, investor protection, client reporting, charges and governance. You will also have a chance to explore the key learnings from implementation of MIFID II over the last two years, benchmarking against peers from the sell-side and buy-side, and resolution of any open questions.
We will also look at the following:
- Review the industry changes to Trade execution, Product Governance, Suitability, and trade and transaction reporting
- Understanding of the key impacts of research unbundling to US, EMEA and APAC institutions in scope, and the new research provider landscape
- Review the impact of PRIIPS, LGPS and other disclosures on MIFID II Costs and Charges and Client Reporting
- Understand the impact of Brexit and upcoming EU regulations (SFDR and ESG EU Regulations, IFR/IFD) on MIFID II
What will you learn
By the end of this training you will learn about:
- Regulatory Background
- Scope and Financial Instruments
- Trading, Execution and Market Structures
- Trade and Transaction Reporting
- Inducements and Research Unbundling
- Client Reporting and Costs and Charges
- Product Governance and Investor Protection
- Implications for EU and Global Investment Banks
- Implementation Process
You may be also interested in the following programmes:
- Regulatory Reporting for EMIR, MiFIR & SFTR – NEW
- EMIR Refit – NEW
- Regulations & Operational Compliance for Funds
- CASS – Managing Client Money & Assets
- Clearing and Settlement and Counterparty Risk
- SFTR Transaction Reporting
- RegTech & SupTech
Register for any 2 courses at the same time and save extra £100! (in total, not per course).
Our online classes are so much more than just a webinar – they provide an interactive experience where you will be able to get your questions answered in real time by our senior experts and have discussions with other participants. You will receive a comprehensive set of course materials and course certificate on completion. And finally, you will benefit from savings on course fee and travel expenses, as well as on VAT charge if you are based outside of the EU.
Main topics covered during this training
- Regulatory background
- Trading and Markets
- Transaction Reporting Requirements
- Investor Protection
- MiFID II Scope
- Inducements & Research
- Cost and Charges
- Client Reporting
Who should attend
The course is aimed at the following professionals from asset and fund management, banking, consulting, exchanges and other businesses involved in MiFID:
- Heads of Trading, Investment, Portfolio Management, Research
- Heads of Operations, Investments and Business Risk
- Investment and Client Operations, Client and Regulatory Reporting
- Back Office Professionals
- Business Analysts
- Project Managers
- HR and Compliance
MIFID Compliance - Key Areas & Lessons Learnt so Far
Session 1: Regulatory Background
- EU Commission Objectives
- MIFID I, MIFID II, MIFIR and MAR
- Relation to other regulations – Dodd Frank, UCITS, AIFMD, EMIR, PRIIPS
Session 2: Trading and Markets
- Market Structures
- Execution Policy
- Market Transparency – Annual disclosures, Top 5 brokers/venues
- Trade Reporting: EEA vs non-EEA venues, RM, MTF, OTF, SIs
- Equity vs Non-Equity trades, LIS trades, APA integration
Session 3: Transaction Reporting
- MIFIR Reporting and Market Abuse Regulation (MAR) Monitoring
- LEIs, ISINs, UPI, personal identifiers, ARM integration
Session 4: Investor Protection
- Product Review and Product Approval Oversight
Session 5: Scope
- Entities and Markets in Scope
- Financial Instruments in Scope
- Implications for non-EU domiciled firms
Session 6: Inducements and Research
- Unbundling of Research from broker commissions
- Unsolicited research monitoring
- US Broker Dealer Soft Dollar Requirements
- RPA for Research payments
Session 7: Cost and Charges; Client Reporting
- 10% Depreciation monitoring
- EMT and EPT for MIFID II and PRIIPS Reporting
- Transaction Cost Analysis for Equities and Fixed Income
- Ex Ante and Ex Post Disclosures
Session 8: Governance
- Whistleblowing, Conflicts of Interest
- Knowledge and Competence
- e-Communication monitoring and telephone recording
The trainer is an industry advisor and regulatory expert with over 20 years of experience in investment banking, asset management regulations and Regulatory Technology (RegTech). He is an industry expert in Financial Regulation, RegTech and Open Banking and covers all the key banking and finance regulations across US, EMEA and APAC including MIFID II, EMIR, CASS, SFTR, IFR/IFD, Dodd Frank, FINMA (SIX), HKMA MAS and SFC, IBOR Transitions, SMCR, and ESG Regulations such as SFDR.
He combines experience in strategic regulatory technology with processes and platform management incorporating risk and governance policies.
His recent key engagements include banks such as HSBC, Deutsche Bank, JP Morgan and Barclays and buy side firms such as T. Rowe Price, Ruffer, M&G and Investec Asset Management, to name a few. He is also a member and advisor of industry association committees for regulatory consultations with bodies such as ESMA, FCA, PRA/Bank of England and SEC.
Most of our public courses are run over 2 full days. Some programmes are offered as a 1 or 3 day training.
In-house training is tailored to client’s requirements and can be organised over 1 day, 2-3 weeks or longer.
Public courses are organised mainly in London and Dubai. Occasionally we organise courses in other centres like Paris or New York. Check our public course calendar for the current list of programmes. We use a range of training venues, all in the centre of the cities and with excellent transport links to the airports and train stations.
In London we use venues in the centre (near Oxford Circus station or in Mayfair) or in the City (near Liverpool Street or Moorgate stations).
In Dubai our courses are organised in one of 4-5* hotels in the Deira district. Once you register we will send you detailed information together with accommodation options if required.
Our in-house courses can be delivered anywhere in the world. We work with over 25 trainers worldwide. Contact us do discuss your requirements. Check our list of available programmes.
Our courses are run in central locations from 9 a.m until 5-5.30 p.m. There are 2 coffee breaks and a lunch break. Lunch is always provided in the venue.
Dress code is smart casual.
All our programmes are taught by senior specialists who have spent many years in their respective sectors, working as senior managers and head of departments, so they understand very well the market and the challenges you are facing.
The experience of our trainers allows us to create very practical programmes, focused on current market trends and challenges. You can be sure that you will gain the knowledge which can be instantly applied in your workplace after the course. You will be analysing real life case studies, take part in group exercises and discussions as well as role plays, whenever applicable.
We want our courses to be as practical and interactive as possible so we limit the number of participants in order to optimise your time with the trainer and allow you to ask questions which are important for you.
In order to understand your requirements and expectations, we will send you a pre-course questionnaire.
You will also receive post-course support so if you have any questions after you left the training, you are welcome to contact us.
There are 2 easy ways to register:
- Go to the course of your choice and click Register Now button to fill the registration page
- Email us to email@example.com
After you register, we will send you registration confirmation and an invoice so you can arrange the payment. Please note that your place is not confirmed until we receive it.
If you register within Early Bird discount period, there’s limited time to arrange the payment in order to be eligible for the discount. You will find all the details on the invoice.
We don’t advise to make any travel and hotel arrangements until you receive full course confirmation from us.
We will send you venue and course details as soon as possible but most likely about 3-4 weeks prior to the course commencement.
You can pay by:
- Making a bank transfer
- Debit/credit card
- Cheque payable to Eureka Financial Ltd. - only within UK
Just mark preferred paying option on the registration form. Whichever form of payment you choose we will always send you an invoice.
If you pay by card, a 2.2% processing fee will be added. We will send you authorisation form so you can give us your card details.
Included in the price of a public course are:
- Course tutorial
- Take away course materials
- Course Certificate
- Lunch on the days of the training as well as drinks and snacks throughout the course
The price doesn’t include accommodation, flights, transfers and any additional costs outside of the training venue.
Yes, we always offer Early Bird discount, so the sooner you register the more savings you can make. We also offer group discounts and if you register for 2 or more programmes at the same time.
If you are a full time student or unemployed, we offer a 25% discount of the full price of the training. Student ID or unemployment status confirmation is required to claim this discount.
If you attend one of our courses you will be entitled to a special discount for a year after the last course you attend with us. Also, if you have attended and recommended us to a friend, both you and your friend will receive a special discount. You will receive more information about it after you attend the course.
See our Customer Loyalty Discounts page for more details.
All our courses based in the UK are subject to the VAT charge of 20%. This fee is irrespective of the country of residence of the delegates.
You can, however, claim the VAT back by contacting UK tax office - HMRC, and filling the relevant form, as long as you comply with the following rules:
For Delegates coming from the EU countries
If you represent a registered business in another EU country, you can use the Refund Scheme to reclaim VAT you pay in the UK as long as all of the following apply:
- You're not registered for VAT in the UK and don't have to, or can't be, registered here
- You don't have a place of business or a residence in the UK
- You don't make any supplies in the UK
You can find some more information here. In order to claim the VAT you have to fill Form 65.
For the Delegates from Non EU countries
If you represent a registered business in a non-EU country, you can use the Refund Scheme to reclaim VAT you pay in the UK as long as all of the following apply:
- You're not registered for VAT in the UK and don't have to, or can't be, registered here
- You don't have a place of business or a residence in the EU
- You can only use the Refund Scheme if your own country operates a similar scheme and makes it available to UK businesses. If your country has its own Refund Scheme but doesn't let UK businesses use it, you can't claim under the UK Refund Scheme.
- You don't make any supplies in the UK
If the following rules apply to you, please fill the 65A form and send it to HMRC.
You can cancel your participation up to a month before the course and receive a refund minus 10% of the full course value. Between 2-4 weeks before the course you will be charged 50% cancellation fee and if you cancel less than 2 weeks before the course you can only offer your place to a colleague. Up to 2 weeks before the course you can reregister for another edition for 10% reregistration fee if there is another webinar offered or you can rebook for a course in London by paying the difference in price plus 10% reregistration fee.
If there is any official travel restriction or difficulty related to the COVID pandemic around the time of the course we will convert the training into a webinar or offer to attend the next classroom edition at no extra cost.
If you are unable to attend the course, you can either send a replacement at no extra charge or, up to 10 days before the training, you can transfer your booking to another edition within the next 6 months paying administrative fee of 20% of the full course price. For any cancellation requests received between 11 days and 4 weeks from the course we offer 50% refund or reregistration to another edition for 25% of the value of the booking. For any cancellation requests received more than 4 weeks before the course date we will offer a refund less an administration fee of 10% of the full course price.
Cancellations must be made in writing (letter or email) and reach our office four weeks prior to the course date. We regret that only limited refunds can be given after this period as per points above. Non-attendance without any notification will be charged at full rate. Your place on a course is not guaranteed until we receive the payment. All payments must be made in full before the course date.
All our trainers have been working for many years in their respective sectors before they begun to teach so they bring a wealth of practical experience to the classroom.
Most of them used to work for 15 or more years in the financial sector and corporate world, and were holding positions of Directors, VP and Senior Managers. Some of them have published books and have written articles for specialised magazines and newspapers including FT, The Independent, The Times etc. You can find detailed biography of each trainer on the page of the course you want to register for.
Yes, you will receive a Certificate of Attendance at the end of the course you attend.
If you have to apply for a Visa to attend a course in the UK, we will issue a letter to support your application. The letter will be issued only after the payment for the course has been made.
It is delegate’s responsibility to obtain a Visa and failure to do so will not make the participant exempt from the cancellation policy.
Anyone suspected of applying for a training course simply to gain a Visa letter will be reported to their embassy.
We will need the following information to issue an invitation letter:
- Full name as it appears on your passport
- Date of birth
- Passport number
- Passport issue date
- Passport expiry date
15 Nov 2023, Online / Virtual
Register by 10 Oct to save £120
Early bird price £875 + VAT
Regular price £995 + VAT
BOOKINGS CLOSE BY 3O OCT! 10% discount for 3 people. There is no VAT charge if you are based outside of the EU.
This topic can be arranged on in-house basis. If you have a group of 4 or more we can customise it and deliver in any location worldwide. Contact us to discuss your requirements