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?
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