MiFID II Awareness (English)

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MiFID II Awareness (English)

The Ministry of Compliance
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Beschrijving

A few thousand pages, that’s how voluminous the Markets in Financial Instruments Directive II (MiFID II) and its related regulations and guidance documents are. MiFID II aims to make the European financial markets more transparent and to protect investors. All financial institutions must comply with MiFID II if they want to offer investment products or ancillary services. How do you find your way through all these rules? And is everything applicable to your work environment?

In this training, we will familiarize you with the main aspects of the MiFID II regulations that apply to investment firms and financial markets. These include investment advice and asset management, but also execution-…

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A few thousand pages, that’s how voluminous the Markets in Financial Instruments Directive II (MiFID II) and its related regulations and guidance documents are. MiFID II aims to make the European financial markets more transparent and to protect investors. All financial institutions must comply with MiFID II if they want to offer investment products or ancillary services. How do you find your way through all these rules? And is everything applicable to your work environment?

In this training, we will familiarize you with the main aspects of the MiFID II regulations that apply to investment firms and financial markets. These include investment advice and asset management, but also execution-only services and trading on stock exchanges. In addition, the rules regarding the provision of information to investors from other regulations will also be discussed. We cover eight important themes. Upon completion of the course you will know what the regulations on these topics are and how to comply with them in practice.

Target audience

MiFID II applies to all parties engaged in investment services and activities, from banks and asset managers to exchanges and trading venues. This awareness e-learning is therefore relevant to all professionals working for European parties active in the trading of financial instruments.

Education level

This is an e-learning at HBO (higher vocational education) level. Specific knowledge is not required, but we do assume that you have basic knowledge of financial services.

Objective

The themes covered in this training are:

  • Conflict of interest and best execution;
  • Suitability and appropriateness;
  • Client classification;
  • Disclosure, cost transparency and client reporting;
  • Product development and distribution;
  • Provision ban;
  • Trading rules and trading platforms;
  • Transaction reporting.

Upon completion of this training, you will be able to determine – for each of the topics – how to act or not to act in simple situations.

Short case study

We start each topic with a short case study and end with an example. In the case study, we ask you to list your thoughts on the subject. You can see this case as a kind of baseline measurement. It helps you to get to grips with the subject and to test what you already know about it. In the feedback we give a first direction for the elaboration.

Example

Each topic ends with a situation that you assess. Here, too, you will receive feedback in which we indicate what MiFID II says about this and give an assessment of the situation. These situations allow you to test whether you know and have understood the material.

Theory

  • Introduction
    • Introduction
    • Introduction to MiFID II
  • Best execution
    • PFOF
    • Conflicts of Interest
    • Best execution
    • Example
  • Suitability and appropriateness
    • What does a questionnaire say?
    • Appropriate management and advice
    • Execution only
    • Summary table
    • Example
  • Client classification
    • Who is the client?
    • Classification
    • Example
  • Information and transparency
    • As if there is not enough information already
    • MiFID II disclosure
    • Other regulations
    • Example
  • Product governance
    • Can you just offer everything you want?
    • Requirements for development and distribution
    • Example
  • Provision ban
    • Everything was better before…
    • Commission rules
    • Example
  • Exchanges and markets
    • Can you no longer see the wood for the trees?
    • Trading platforms
    • Example
  • Transaction Reporting
    • How do we find out about market abuse?
    • Transaction Reporting
    • Example

Test MiFID II Awareness

You will complete this course with a test in the learning environment. To assess whether you are ready to take the test, you can first answer the practice questions. You can also take resits in the learning environment.

MiFID II Awareness certificate

After passing the test, you can download your personal certificate from the learning environment

Study load

The MiFID II Awareness course can be taken through our online learning environment, wherever and whenever it suits you. The e-learning takes on average between two and three hours to complete, depending on your prior knowledge.

Why follow this MiFID II training?

  • Insight into MiFID II and the relevant rules for your organization
  • Practical examples for each subject
  • Developed by specialists from Charco & Dique
  • Flexible learning wherever and whenever it suits you, in our online learning environment or app

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