Regulatory Compliance
MiFID Fundamentals
A practical overview of MiFID II, covering its scope, key obligations for investment firms, client classification, conduct of business rules, and reporting requirements.
About This Seminar
MiFID II is the cornerstone of EU investment services regulation, affecting investment firms, banks, and trading venues across the European Economic Area. This programme equips compliance professionals and business managers with a clear understanding of MiFID II’s requirements and their practical application.
What you will cover
- Scope of MiFID II: entities, services, and instruments covered
- Authorisation, passporting, and third-country access
- Client classification: retail, professional, and eligible counterparty
- Conduct of business: suitability, appropriateness, and best execution
- Transaction reporting, trade transparency, and record-keeping
- Product governance, inducements, and remuneration rules