MiFID Compliance and Reporting

MiFID Compliance and Reporting

Key Areas & Lessons Learnt so far. 

We offer an opportunity to complete this programme remotely via virtual classroom on 25 Mar 2024 from 9 a.m. until 5 p.m. UK time. This is the last public edition of this programme.

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This one-day course conducted by a City expert provides a look at MiFID and its impact on a Banks, Broker-Dealers and Asset Managers, from front to back office. You will learn about the key areas including the scope of the regulation, trade and transaction reporting requirements, investor protection, client reporting, charges and governance. You will also have a chance to explore the key learnings from implementation of MIFID II over the last two years, benchmarking against peers from the sell-side and buy-side, and resolution of any open questions.

We will also look at the following:

• Review the industry changes to Trade execution, Product Governance, Suitability, and trade and transaction reporting
• Understanding of the key impacts of research unbundling to US, EMEA and APAC institutions in scope, and the new research provider landscape
• Review the impact of PRIIPS, LGPS and other disclosures on MIFID II Costs and Charges and Client Reporting
• Understand the impact of Brexit and upcoming EU regulations (SFDR and ESG EU Regulations, IFR/IFD) on MIFID II

You may be interested in our: 

• Regulatory Reporting for EMIR, MiFIR & SFTR 
• RegTech & SupTech 
• EMIR & EMIR Refit
• SFTR

and other regulatory reporting.