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Markets in Financial Instruments Directive II (MiFIDII)

5 hour(s)

Objectives

In this eLearning you will be guided through different modules by closely following the storyline of Ben the Banker who is a newly hired employee being introduced to MiFID II.

By the end of this training, you will be able to:

  • Know the business and organizational requirements for financial organizations
  • Understand the authorization requirements for regulated markets
  • Comply with reporting requirements to avoid market abuse
  • Offer the appropriate documentation to the client and
  • Improve its transparency to customers in terms of transactions

Content

1. Introduction

  • Context and objectives
  • Context and background
  • Why MiFID II?
  • Key principles of the regulation.

2. Focus on client protection

  • Getting ready for transactions
  • Onboarding a client
  • During the trade
  • Post-trade
  • Investment research
  • Product documentation.

3. Compliance and other requirements

  • Client order handling
  • Compliance and complaints handling
  • Conflicts of interest and record-keeping
  • Personal transactions
  • Management body.

4. Knowledge check

  • Random selection of questions.
Teaching methods

DLearn offers a dynamic approach to digital learning:

  • All sessions are modular and easy to customize to perfectly fit your needs
  • The units (maximum 15 minutes) are incorporated in an interactive storyline.

Target group

Who is the course aimed at?

  • Board
  • Management
  • Operations.

Assessment

Assessment methods

At the end of this eLearning, the learner will be evaluated on the topic via a knowledge check.

 
Certficate, diploma

Our MiFID II eLearning is part of our CSSF MiFID II training program. An official certificate will be delivered upon validation.

Additional information

All our eLearnings are customizable for any industry.

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Responsibility for the content of this training description lies solely with its author, the training provider Deloitte Tax & Consulting.

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All our eLearning courses are available on the DLearn platform or can be provided directly in SCORM format.

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