The Workshop sessions include (continued):
Governance and Organisation
- Governance / organisation
- Compliance policy
- Business continuity
- Outsourcing
- Conflicts of Interest
Sales and Marketing
- MiFID and the Conduct of Business (COB) rules
- Client classification
- Suitability / appropriateness
- Disclosure / information about the firm
- Reporting to clients
Best Execution, Pre and Post trade Transparency
- New best execution requirements
- Systematic internalisers and multilateral trading facilities
- Implications for markets and firms
- Market transparency
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