The MiFID II series - MiFID II for investment firms
London Stock Exchange, London.
This is one of a series of 5 fast-paced seminars which aims to get participants up to speed with the main areas of impact arising from MiFID II and enable them to ensure compliance with the reforms.
In this half day seminar, MiFID II for investment firms, senior expert lawyers from City firms Freshfields Bruckhaus Deringer and DLA Piper provide their perspective and guidance in a practical and interactive session covering the breadth and scope of MiFID II as the changes particularly affect investment firms, including aims and EU process as well as exploring other key topics including management arrangements, Conduct of Business and investor protection, transparency and market infrastructure and includes a panel session on implementation including third country issues, the potential impact of Brexit and the current UK implementation timetable.
This is a fast paced course which aims to get investment firms up to speed with the main areas of impact arising from MiFID II. MiFID II's reach, complexity, growing scope and entry into effect as of January 2018 make it a top compliance priority. Continuing uncertainty over MiFID II’s final impact in some areas means that implementing the new regime presents unique challenges — and opportunities — for firms of all sizes. This seminar offers a unique opportunity to obtain a solid grounding in all the key aspects of MiFID II particularly affecting investment firms and to enable them to pinpoint which areas and activities to prioritise.
Who should attend?
This course is aimed at all staff working in investment firms.
MiFID II series
This seminar forms part of a series of 5 seminars which examine the Markets in Financial Instruments Directive (MiFID II) which comes into effect on 3 January 2018 across the entire financial spectrum. Our series has been designed to help you better understand the transformative effect of MiFID II on your firm. Senior experts from leading legal and consultancy firms provide their perspective and guidance in a series of practical and interactive sessions.
- MiFID II An Overview And Latest Developments - 28 April 2017
- MiFID II For Investment Firms
- MiFID II For Fund Managers - 2 June 2017
- Regulatory Developments For Issuers Including MiFID II And MAR - 31 May 2017
- MiFID II Trading And Transparency - 26 June 2017
Course fee: £495 + VAT
CPD points: Each seminar attracts 3 CPD points.
08:45 - 09:00 Registration and coffee
09:00 - 09:30 Introduction
- Aim, scope
- EU process
- MiFID I review, post 2008 crash, Flash Crash 2010, Lehman Brothers, failings in corporate governance
09:30 - 09:50 Management
- Directors, qualifications and time
- UK Senior Managers Regime
- Compliance Functions,
09:50 - 10:45 Conduct of Business and Investor Protection
- Research & Inducements
- Best Execution
- Investment advice and suitability
- Complex/non-complex instruments
- Phone taping
- Product Governance
- Regulator intervention
- Reporting to clients
10:45 - 11:15 Coffee break
11:15 - 12:00 Transparency
- Trading & reporting
- Pre-trade transparency & waivers, DVC
- Trade reporting
- Transaction reporting,
- Commodity derivative positions
- Trading venues,
- trading obligations,
- Algo certification & trading,
- Open access
12:00 - 12:30 Market Infrastructure
- Trading venues
- Trading obligations
- Algo certification & trading
- Open access
12:30 - 13:00 Implementation (panel)
- Third country (regime, issues)
- Brexit (status, options, impacts)
- Timetable (current status, FCA Implementation)