MiFID II Overview

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.