MiFID – One Year On

A one day intensive training workshop that is aimed at business professionals who are affected by MiFID to understand the immediate and short to medium term impacts following the passing of the implementation date.

The Workshop sessions include (continued):

New market structures and the execution policy

Meeting best execution requirements – price and cost
Systematic internalisers and firms dealing with clients as principal
New multilateral trading facilities, dark pools and regulated markets
Implications for markets and firms
Order Handling Rules
Market transparency

The new COBS rules and Treating Customers Fairly

Where do the requirements cross over
How does compliance monitoring answer both questions?
Documentation and recordkeeping
Measuring the quality and transparency of client service activities
How to train the business

Remediation and prioritisation

What are the key challenges for your firm 12 months on
How do you provide satisfactory evidence of the review and consequent change to execution policies?
How do you establish client understanding and satisfaction within the new system
How do you demonstrate effective conflict management?
What – if anything – do you need to tell the regulator?