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MiFID Compliance and Reporting

Eureka Financial
Course summary
1 day
695 - 750 GBP excl. VAT
Full time
London, Online courses
Next available date: 19/11/2021 09:00 - Online courses
Professional Training

Course description

Key Areas & Lessons Learnt so far. 

Due to the current situation we offer an opportunity to complete this programme remotely via virtual classroom on 5 Jul & 19 Nov from 9 a.m. until 5 p.m. UK time. 

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This one-day course conducted by a City expert provides a look at MiFID and its impact on a Banks, Broker-Dealers and Asset Managers, from front to back office. You will learn about the key areas including the scope of the regulation, trade and transaction reporting requirements, investor protection, client reporting, charges and governance. You will also have a chance to explore the key learnings from implementation of MIFID II over the last two years, benchmarking against peers from the sell-side and buy-side, and resolution of any open questions.

We will also look at the following:

  • Review the industry changes to Trade execution, Product Governance, Suitability, and trade and transaction reporting
  • Understanding of the key impacts of research unbundling to US, EMEA and APAC institutions in scope, and the new research provider landscape
  • Review the impact of PRIIPS, LGPS and other disclosures on MIFID II Costs and Charges and Client Reporting
  • Understand the impact of Brexit and upcoming EU regulations (SFDR and ESG EU Regulations, IFR/IFD) on MIFID II

You may be interested in our MiFIR & EMIR Reporting - Challenges & Lessons Learnt on programme on 25 Mar & 24 May 2021. 

Suitability - Who should attend?

The course is aimed at the following professionals:

  • Compliance Managers
  • Operations
  • Business Analyst
  • Project Managers
  • Transaction Reporting 

Outcome / Qualification etc.

Course certificate on completion. 

Main topics

By the end of this training you will learn about: 

  • Regulatory Background
  • Scope and Financial Instruments
  • Trading, Execution and Market Structures
  • Trade and Transaction Reporting
  • Inducements and Research Unbundling
  • Client Reporting and Costs and Charges
  • Product Governance and Investor Protection
  • Implications for EU and Global Investment Banks
  • Implementation Process

Expenses

Early Bird discount £695 + VAT, regular price £795 + VAT 10% discount for 3 people. 

About provider

Eureka Financial - Expert in Banking and Finance, Regulatory, Risk and Wealth Management Training.

Eureka Financial is a provider of banking, finance, regulatory, risk and wealth management training courses. We also offer some business management and soft skills training programmes. Based in London, UK, we organise public courses in London as well as tailored in-house...


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Contact info

Eureka Financial

22 A St Jame's Square
SW1Y 4JH London

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www.eurekafinancial.com

Reviews

Average rating 5

Based on 5 reviews.

A.C., VP, Barclays Bank
Very good. Easy to follow and understand on what is a very complex structure. I learnt a lot!.
W.Z. Lead Functional Analyst, Deutsche Bank
S.D., Partner, KPMG
Excellent. Very informative, interactive and well presented.
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