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MiFID II – New Requirements for Investment Managers

BPP Professional Education

Summary

Price
£372 inc VAT
Study method
Classroom
Duration
1 day · Full-time
Qualification
No formal qualification
CPD
3 CPD hours / points
CPD What's this?
Additional info
  • Tutor is available to students

Location & dates

Location

Address
Venue may change up to 14-days before the course start date’
9-10 Portland Place
West London
London
W1B1PR
United Kingdom
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Overview

Composed of both a Directive to amend the existing MiFID and of new European Regulations, MiFID II moves the regulation of investment management from its familiar form into the new, politicised, style now adopted by the European Commission and the ESAs. All investment firms will be affected by the changes coming into force in the next two years. Prompt and robust preparation for implementation will enable firms to bring a measured approach to a further body of regulation from the EU.

Learning outcomes include a greater understanding of:

  • The impact of MiFID II on fund management firms

You will also learn, in the context of these directives, about:

  • ESMA’s role in drafting and overseeing regulation
  • The intentions of the European Commission

Venue may change up to 14-days before the course start date. Enquire for dates.

CPD

3 CPD hours / points
Accredited by BPP Professional Education Limited

Description

Course Content

  • Introduction to the directive
  • Political background: what the EU thinks it is doing
  • Timing of introduction of new requirements: how much time do we have?
  • Key changes to MiFID and EC purpose: focus on the big picture and understand the concepts and reasons for further change
  • New regulatory reporting requirements: what’s new and how much will systems changes be required
  • Changes to disclosure and marketing requirements: new compliance requirements in this high profile area
  • Impact on promotion of UCITS: will UCITS remain non-complex products or will appropriateness creep into every corner?
  • Changes to transaction requirements: trade reporting and transaction reporting remain a regulatory focus requiring careful and diligent implementation
  • Role of the EU institutions: European Commission, ESMA and European Parliament
  • Group discussion of proposals: a chance to comment, a moment to hear others

Who is this course for?

Directors, senior executives and compliance professionals of fund management groups.

Questions and answers

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Legal information

This course is advertised on reed.co.uk by the Course Provider, whose terms and conditions apply. Purchases are made directly from the Course Provider, and as such, content and materials are supplied by the Course Provider directly. Reed is acting as agent and not reseller in relation to this course. Reed's only responsibility is to facilitate your payment for the course. It is your responsibility to review and agree to the Course Provider's terms and conditions and satisfy yourself as to the suitability of the course you intend to purchase. Reed will not have any responsibility for the content of the course and/or associated materials.

FAQs

Study method describes the format in which the course will be delivered. At Reed Courses, courses are delivered in a number of ways, including online courses, where the course content can be accessed online remotely, and classroom courses, where courses are delivered in person at a classroom venue.

CPD stands for Continuing Professional Development. If you work in certain professions or for certain companies, your employer may require you to complete a number of CPD hours or points, per year. You can find a range of CPD courses on Reed Courses, many of which can be completed online.

A regulated qualification is delivered by a learning institution which is regulated by a government body. In England, the government body which regulates courses is Ofqual. Ofqual regulated qualifications sit on the Regulated Qualifications Framework (RQF), which can help students understand how different qualifications in different fields compare to each other. The framework also helps students to understand what qualifications they need to progress towards a higher learning goal, such as a university degree or equivalent higher education award.

An endorsed course is a skills based course which has been checked over and approved by an independent awarding body. Endorsed courses are not regulated so do not result in a qualification - however, the student can usually purchase a certificate showing the awarding body's logo if they wish. Certain awarding bodies - such as Quality Licence Scheme and TQUK - have developed endorsement schemes as a way to help students select the best skills based courses for them.
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Similar subjects: Investment, Accounting and finance