MiFID II refresher

• Authorised managers
• Compliance officers
• Internal auditors
• Project managers in charge of regulatory projects
• Other professionals in scope of the CSSF circular 17/665

This 2 hour live training module is designed to support the regular update of general knowledge and competence around MiFID II requirements.

Objectives

By the end of this training, participants will be able to have a view on:

• the main topics to keep an eye on based on the latest regulatory development and/or market trends;
• ongoing monitoring to maintain compliance with regulatory requirements.

Refresher on MiFID obligations based on the client journey and with a highlight on market practices:

• Prospecting: key information
• Onboarding: key information and client documentation
• Servicing: client classification, suitability and appropriateness, product governance, inducements
• Reporting: ex-ante and ex-post reporting obligations
• Other MiFID requirements
• Upcoming regulation: Retail Investment Strategy (RIS)
• CSSF focus areas

This course has been designed with the support and collaboration of Cécile Liégeois, Partner and is coordinated by Isabelle Willequet, Senior Manager at PwC Luxembourg.

• Cécile Liégeois is a partner specialising in audit and regulatory matters within the Financial Sector industry, with over 25 years of professional experience in Luxembourg. She possesses extensive expertise in Luxembourg banking, payment, and investment firm regulations, including MiFID II, governance, compliance, outsourcing, DORA, SFDR, and PSD2. Cécile leads external audits of banks, financial sector professionals, and management companies, preparing regulatory reports and managing projects on new regulatory implementations with a focus on business, regulatory, and operational impacts. She also supports the establishment of new regulated entities or branches such as banks, MiFID firms, or payment institutions. Her client work includes audits, regulatory impact assessments, compliance assistance, AML reviews, and outsourcing framework evaluations.
• Isabelle Willequet is a senior manager with 29 years of professional experience in the Luxembourg banking sector, specialising in banking processes, associated risks, and the implementation of adequate controls. She has extensive expertise as a Project Manager, commercial support, and Business Risk Manager, with a strong background in internationally-oriented banking activities within a Group matrix organisation. Isabelle possesses deep knowledge of the 3 Line of Defense model and has led numerous operational and regulatory projects for major banking institutions. Her expertise includes banking regulations, internal controls, and project management, complemented by delivering MiFID training and providing regulatory assistance and business model advice to banks and investment firms.