The MiFID II series - MiFID II for fund managers
London Stock Exchange, London.
This is one of a fast paced series of 5 seminars which is targeted at fund managers and 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 fund managers, senior expert lawyers from consultants Deloitte and City law firm DLA Piper, provide their perspective and guidance in a practical and interactive session covering the breadth and scope of MiFID II, particularly as it affects fund managers, including aims and EU process as well as exploring other key topics including management and compliance impacts, research, inducements and conduct issues, 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.
Implementing MiFID II is now the leading regulatory priority for European wealth and asset managers. It is increasingly apparent that the new regime will reshape European financial markets, posing major technological and commercial challenges for managers. Continuing uncertainty over MiFID II’s final impact in some areas means that implementing the new regime presents unique challenges — and opportunities — for fund managers of all sizes. This is a fast paced course which aims to get participants up to speed with the main areas of impact arising from MiFID II enabling them to pinpoint which areas and activities they should be prioritising.
Who should attend?
This course is aimed at all staff working in fund management.
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 and Compliance Impacts
- Directors, qualifications and time
- Compliance Functions,
09:50 - 10:45 Research, Inducements and Conduct Issues
- Research & Inducements
- Best Execution
- Investment advice and suitability
- Phone taping
- Product Governance
- Regulator intervention
- Reporting/disclosure to clients
- Costs and charges
10:45 - 11:15 Coffee break
11:15 - 12:00 Transparency
- Trading & reporting
- Pre-trade transparency & waivers, DVC
- Trade reporting/data/CTP
- Transaction reporting,
- Commodity derivative positions
11:15 - 12:00 Market Infrastructure
- Trading venues
- Trading obligations
- Algo certification & trading
- Market making
- Open access
12:30 - 13:00 Implementation (panel)
- Third country (regime, issues)
- Brexit (status, options, impacts, trading obligations)
- Timetable (current status, FCA Implementation)