MiFID II – The Impact For Retail Firms

0
Loading Map....

Date/Time
Date(s) - 25/05/2017
9:30 am - 5:00 pm

Location
TBC

Categories


When & Where
25 May London

Who should attend?
It’s perfect for anyone who receives or prepares board papers, including: • Chairman • Company Secretaries • Executive/Non-executive Directors • Significant Influence Functions holders in FCA regulated firms • Senior Compliance and Business Managers

.

What are the outcomes of attending?
  Conduct of Business Inducements – advisor charging and research
Review of the requirements and some of the challenges this might present
o    How this affects investment professionals
o    Negotiating rebates
o    Requirements in relation to inducements to Article 3 firms (if relevant)
o    Structured deposits
o    Independent investment advice
Group discussion on their understanding of how these changes will affect them and sharing these ideas and best practice

Conduct of Business Disclosure requirements
Review of the requirements and some of the challenges this might present
o    Changes to the disclosure rules in COBS
Group discussion on their understanding of how these changes will affect them and sharing ideas and best practice

Conduct of Business Suitability
Review of the requirements and some of the challenges this might present
o    The expansion of the existing MiFID suitability provisions through the address of further requirements
Group discussion on their understanding of how these changes will affect them and sharing ideas and best practice

Conduct of Business Appropriateness
Review of the requirements and some of the challenges this might present
o    Limiting COBs to MiFID products
Group discussion on their understanding of how these changes will affect them and sharing ideas and best practice

Conduct of Business Dealing and Managing
Review of the requirements and some of the challenges this might present
o    MiFID II requirements on best execution including client order handling, record keeping of client orders and decisions to deal, transactions limit order display, and personal account dealing.
Group discussion on their understanding of how these changes will affect them and sharing ideas and best practice

Other Matters Knowledge and Competence Requirements
Review of the requirements and some of the challenges this might present
o    Ensuring and demonstrating individuals possess the necessary knowledge and competence to fulfil their investor protection obligations
o    ESMA Level 3 guidelines on the attainment of appropriate qualifications and experience by employees
Group discussion on their understanding of how these changes will affect them and sharing ideas and best practice

Other Matters Recording of telephone conversations and electronic communications (taping)
Review of the requirements and some of the challenges this might present
o    Harmonising of firms across the EU to record telephone conversation and electronic communications
o    Extension of time limit on record retention
o    Corporate Finance business, Portfolio management & article 3 firms
Group discussion on their understanding of how these changes will affect them and sharing ideas and best practice

Who is running the workshop?
FSTP

 What have previous delegates said about this workshop? 

How much does it cost?
Single Booking £595.00 +VAT
Multiple Booking £535.50 +VAT

How do I book?
Call 0203 178 4230 or email info@fstp.co.uk today

Share.

About Author

Leave A Reply

Verified by MonsterInsights