MiFID II

This training entitles the participant to a certificate of participation issued by an approved professional training organisation under the number 10060172/3.

Target audience

• The MiFID training is intended for professionals in the financial sector who need to understand and apply European regulations on financial markets.

Goals

• Understand the origins and main objectives of MiFID II, as well as its regulatory scope.
• Identify the types of firms and market structures affected by MiFID II, understand client categorization, and the requirements for product suitability and appropriateness.
• Familiarize yourself with pre- and post-trade transparency obligations as well as transaction reporting requirements.
• Explore the role of ESMA in the enforcement of MiFID II and understand the current challenges firms face in complying with the regulation.

Program

• Chapter 1 : Introduction to MiFID II and Regulatory Scope
  • Subchapter 1.1: Understanding the Origins of MiFID II
    What is the origin of MiFID II ?
  • Subchapter 1.2: Key objectives of MiFID II
    What are the Primary Goals of MiFID II, and How Does It Improve Market Transparency and Investor Protection?
• Chapter 2: Firms and Market Participants Under MiFID II
  • Subchapter 2.1: Types of Firms Covered by MiFID II
    Which types of firms fall under the scope of MiFID II ?
    Are there exemptions?
  • Subchapter 2.2: Market Structures (RMs, MTFs, OTFs)
    How do Regulated Markets (RMs), Multilateral Trading Facilities (MTFs), and Organized Trading Facilities (OTFs) operate under MiFID II?
    What distinguishes Regulated Markets (RMs), Multilateral Trading Facilities (MTFs), and Organized Trading Facilities (OTFs)?
• Chapter 3: Investor Protection and Client Interaction
  • Subchapter 3.1: Client Categorization and Investor Protections
    How are clients categorized under MiFID II (e.g., retail vs. professional)?
    What protections are provided to retail investors vs. professional investors?
  • Subchapter 3.2: Suitability, Appropriateness, and Product Governance
    How do firms determine the suitability of products for clients?
    What are the steps involved in product governance and target market assessment?
• Chapter 4: Market Transparency and Reporting Requirements
  • Subchapter 4.1: Pre-Trade and Post-Trade Transparency
    What are the pre-trade transparency requirements?
    What are the post-trade transparency requirements?
  • Subchapter 4.2: Transaction Reporting and Data Management
    What are the key transaction reporting obligations under MiFID II?
    How should firms handle data management and record-keeping?
• Chapter 5: Future of MiFID II and Regulatory Evolution
  • Subchapter 5.1: The Role of ESMA and Regulatory Enforcement
    What is the role of the European Securities and Markets Authority (ESMA) in enforcing MiFID II?
    How does ESMA collaborate with national regulators to ensure compliance?
  • Subchapter 5.2: Challenges and Future Developments in MiFID II
    What challenges do firms face in complying with MiFID II?
    How might the regulatory landscape evolve in the future?

Duration

• 1h00

Language

• English

Practicalities

• Access sent within 24 hours
• 100% online training accessible from computer, tablet and smartphone
• Certificate of participation issued by an approved professional training organisation under the number 10060172/3.

Knowledge check

• Knowledge validation test at the end of each chapter

Learning method and pedagogy

• Theoretical presentations & practical cases
• Quizzes
• Animations, diagrams & summaries

Group discounts

Send your request by email to constance@easylearning.eu

• Between 11 and 25 accesses: 15% discount + free reporting
• Between 26 and 50 accesses: 20 % discount + free reporting
• Between 51 and 100 accesses: 30 % discount + free reporting
• 100+ accesses: Ask for a tailor-made offer