MiFID II Overview

Provides a comprehensive overview of the regulatory framework governing financial markets in the European Union

75.00

This e-learning course on MiFID II (Markets in Financial Instruments Directive) provides a comprehensive overview of the regulatory framework governing financial markets in the European Union. MiFID II, implemented in January 2018, has brought significant changes to the financial industry, impacting how investment services and activities are conducted.

Participants will gain insights into the key provisions of MiFID II, including investor protection, market transparency, and the regulation of financial instruments. The course covers the scope of MiFID II, its impact on different market participants, and the measures introduced to enhance market integrity and investor confidence.

Through a combination of informative content, case studies, and practical examples, learners will develop a solid understanding of MiFID II’s requirements, its implications for financial institutions, and the measures to ensure compliance. This course is suitable for professionals working in financial services, compliance, legal, and anyone seeking a foundational understanding of MiFID II.

Learning Objectives:

Upon completion of this MiFID II Overview course, participants will have a solid foundation in the key aspects of MiFID II, enabling them to navigate its complexities and contribute to their organizations’ compliance efforts.

In particular, they will be able to:

  • Understand MiFID II Fundamentals
  • Explore MiFID II Regulatory Framework
  • Analyze the measures in place to protect investors’ interests.
  • Explore client categorization, appropriateness, and suitability assessments.
  • Discuss the transparency requirements for trading venues and systematic internalizers.
  • Understand transaction reporting obligations and their impact on market surveillance.
  • Examine the obligations imposed on investment firms, including conduct of business rules.
  • Identify the requirements for best execution and inducements.
  • Explore the rules governing algorithmic and high-frequency trading.
  • Understand the organized trading facilities (OTF) and multilateral trading facilities (MTF) regimes.
  • Analyze post-trade transparency requirements.
  • Understand the record-keeping obligations under MiFID II.
  • Discuss the enforcement mechanisms and penalties for non-compliance.
  • Explore the role of national competent authorities in ensuring MiFID II compliance.

Training Duration

This course may take up to 3 hours to be completed. However, actual study time differs as each learner uses their own training pace.

 

Participants

This course is ideal for anyone wishing to be introduced to the MiFID II and the respective regulatory provisions. It is also suitable to professionals pursuing regulatory CPD in Financial Regulation.

 

Training Method

The course is offered fully online using a self-paced approach. The learning units consist of video recordings, reading material, case studies and quizzes. Learners may start, stop and resume their training at any time.

At the end of the training, participants earn a Certificate of Attendance.

 

Registration and Access

To register to this course, click on the ”Add To Cart” button to pay online and receive your access instantly. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment.

Access to the course is valid for 180 days.

If you wish to receive an invoice instead of paying online, please Contact us here. Talk to us for our special Corporate Group rates.

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