Internal audit - MiFID

This module is a component of our Internal audit curriculum, designed to assist internal auditors in their day-to-day work.

This curriculum consists in several courses, dedicated to core topics, subject to the review of internal auditors. The courses will cover organisational, technical and regulatory aspects. The aim of each course is to give a basic refresh of the regulatory requirements, to help in the identification of the risks faced by the participant's companies and to guide them in the elaboration of an adequate working programme. In addition, we will share best practices and practical tips. Experienced internal auditors and subject matter experts will guide participants throughout this curriculum.Prerequisite for each participant: basic knowledge and understanding of the audited topics, as well as of the applicable regulations.

By the end of the course, participants will be able to:

• have a better understanding of the topic and the major impacts of MiFID II;
• have a basic refresh of the regulatory requirements;
• benchmark their processes and controls with best practices;
• design an adequate audit plan;
• be confident in conducting the Internal audit review.

• MiFID scope and context
• Risk analysis
• MiFID regulatory refresh
• Key processes and controls review (i.e. appropriateness and suitability tests, client reporting, inducements, pre-trade and post-trade controls, etc.)
• Experience sharing and benchmarking

An attendance certificate will be sent to participants.

This training is coordinated by Alexandre Lambin, Partner at PwC Luxembourg.

Alexandre is a partner within PwC Luxembourg’s Risk Assurance practice, with a particular focus on internal audit services and corporate governance. He has more than 26 years of experience in the audit practice (internal and external).

He is qualified as a Certified Internal Auditor (CIA), Certified Financial Services Auditor (CFSA), Certified in Risk Management Assurance (CRMA) and expert-comptable in the Grand-Duchy of Luxembourg.

Alexandre is also accredited by the Institute of Internal Auditors to lead internal audit functions quality assessments.

Within PwC Luxembourg, Alexandre is co-leading the corporate governance working group with the objective of facilitating and optimising governance related services. He is also closely collaborating with the internal audit departments of several companies across various sectors on a diversified panel of assignments.