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Best Execution – Meeting Regulatory Requirements Under MIFID II

Corporate Training Partnerships
Course summary
3 hours
345 GBP excl. VAT
English
Full time
Online courses
Next available date: To suit your business and people - Online courses
Professional Training

Course description

Best Execution – Meeting Regulatory Requirements Under MIFID II

The rules, guidance and ‘standards’ for Best Execution have been in place since the introduction of MiFID seven years ago. Despite this, regulators continue to find only a very small proportion of the firms visited actually understand and comply with the totality of the Best Execution requirements, with the majority lacking an understanding of the full scope of the requirements, how to define and monitor Best Execution and what constitutes appropriate governance.

Making use of case studies and syndicate exercises, this practical course will help Compliance and Front Office professionals in MiFID scope firms keep up to date with the evolving rules, guidance and standards in this critical area of business and regulatory risk.

Specifically, attending will help you:

  1. Review your compliance with MiFID II requirements
  2. Update and refresh your knowledge of the regulatory developments and priorities,  including the impact of TR 14/13
  3. Consider the appropriateness of your best execution arrangements
  4. Recognise the importance of an effective monitoring structure
  5. Review the appropriateness of your best execution governance
  6. Understand the new data gathering and reporting requirements

Suitability - Who should attend?

Compliance and Front Office professionals in MiFID scope firms

Outcome / Qualification etc.

Attendance at this training event can provide delegates with 3 CPD hours to count towards their continuous professional development requirements.

Training Course Content

  • The scope of the rules
  • Defining Best Execution for your firm
  • Evidencing venue selection
  • Constructing a value-added monitoring programme
  • Payment for Order Flow
  • Best Execution Governance
  • Compliance oversight and internal audit

Course delivery details

This course will be delivered via a real time slide sharing and live audio visual platform, accessible by desktop computer, laptop, tablet or smartphone. Delegate numbers will be limited to ensure a high quality learning environment.

In-house / Company-specific training

Corporate Training Partnerships can also adapt and deliver this training course in-house, to meet the training needs of your staff.

About provider

Corporate Training Partnerships - CTP: Regulatory, Risk Management and Technical Training for Financial Services Organisations

CTP are a specialist training company serving the financial services sector since 2002. Our clients include both dual (FCA and PRA) regulated and solo (FCA) regulated firms. Fully independent with no consulting or technology arms or products, no third party...


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Reviews

Average rating 4.8

Based on 18 reviews.

CMC Markets
Trainer was very informative and I enjoyed the open forum aspect allowing interesting discussion
Vanguard Asset Management
Excellent content, very relevant and well explained. Problem area highlighted without scare mongering
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