MiFID for Compliance and Senior Management

7city Learning
London, United Kingdom

Course Format: Classroom | E-learning | Virtual Class | Online | On-site | Blended | Self-paced

Course Description:

'' Financial Services Action Plan
Background and History
The Lamfalussy Process
Country of Origin examined
Super-equivalence

MiFID Implementation
UK & European Preparedness discussed

Key Issues
Organisations and SYSC and the Common Platform

Training & Competence Changes Conduct of Business
New Classification rules & operational consequences
Best Execution: Application and practicalities
Suitability/Appropriateness - Obligations and policies
Conflicts - Policy & Changes
Exercises & case studies using MiFID Connect Guidance

Market Structure & Transparency
Exchanges, MTFs and Systematic Internalises
Pre & Post Trade Transparency
Revised Transaction Reporting

Basel II & CRD
Overview of changes
Timetable & transitionals

Understanding Pillar 1, 2 and 3
Standardised versus Advanced Approaches
ICAAP & SREP
...''

Phone:+44(0)20 7496 8600

School Address:

4 Chiswell Street
London
EC1Y 4UP
UK

Jobs & Resumes: London
Houses & Roommates: London

CDOs
Convertible Bonds
Fixed Income
Repos
Securitisation
Certificate in Finance for Recruitment Consultants and HR
Economics and the Financial Markets
Islamic Finance
Global Capital Markets
Peak Performance for Traders
Contemporary Equity Analysis
Equity Markets
Energy Futures Workshop
Exotic Equity Derivatives, Pricing and Hedging
Credit Derivatives
Equity Derivatives
Swaps
Financial Modelling
Mathematics for Quantitative Finance

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