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CPD finance online courses e-Learning CPD for accountants

Online management, finance and business courses to suit your learning needs, budget and schedule. As well as the merit of their content, courses can count as structured & verified, CPE / CPD for accountants.

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Business Finance CPD Online Course Description

MiFID II Key Requirements

Tutorial Description

Objectives

On completion of this tutorial, you will be able to:

  • Recognize the impact of the MiFID II regime on financial market participants and structures and par, including organized trading facilities (OTFs), systematic internalizers (SIs), derivative trading obligations, market access, and dark pools and broker crossing networks
  • Identify how MiFID II aims to improve both pre- and post-trade transparency
  • Recognize the importance of transaction reporting and governance under the MiFID II framework
  • Quantify the impact of MiFID II on the various business lines of financial institutions

Tutorial Overview

MiFID II is a package of EU legislation that regulates firms who provide services to clients linked to financial instruments and the venues where those instruments are traded. This tutorial covers the main areas covered by the MiFID II regime, including market structure, market transparency, investor protection, and transaction reporting.

Tutorial Duration: 60 minutes

Tutorial Outline

Topic 1: Market Structure

  • Organized Trading Facilities (OTFs)
  • Systematic Internalizers (SIs)
  • Changes to the SI Regime
  • Derivative Trading Obligations
  • Market Access
  • Dark Pools & Broker Crossing Networks

Topic 2: Market Transparency

  • Pre-Trade Transparency
  • Post-Trade Transparency

Topic 3: Investor Protection

  • Product Governance
  • Investment Advice
  • Suitability
  • Suitability Reports
  • Appropriateness
  • Inducements
  • Investment Research
  • Best Execution
  • Conduct of Business: Product Coverage

Topic 4: Transaction Reporting & Governance

  • Transaction Reporting Requirements
  • Commodity Derivatives: Limits & Trading Restrictions
  • High Frequency Trading (HFT)
  • High Frequency Trading: Controls
  • Internal Control & Governance

Topic 5: Impact on Firms

  • Impact on Firms
  • High-Level Impact
  • Buy-Side & Sell-Side Impact
  • Third-Country Access
  • Third-Country Access: Models

Registration Information

 

Once purchased, you will have access to this course for 365 Days.

Cost: 40.00   VAT*   Add to cart

Duration: 1 hours CPD units: 1.00

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