MiFID II - Risk, Compliance, Regulations (EN)

Blended learning

Wie lange dauert die Weiterbildung?

 8,00 Stunde(n)

In welcher/n Sprache(n) wird die Weiterbildung angeboten?

EN

Wann findet der nächste Termin statt?

 09.12.2026
Wo findet die Weiterbildung statt?
 Luxembourg

Wie viel kostet die Weiterbildung?

220,00€

Wer bietet diese Weiterbildung an?

Fondation créée en 2015 par la Chambre de Commerce et l’Association des Banques et Banquiers Luxembourg (ABBL), la House of Training est un organisme agréé de formation professionnelle continue qui s'engage à contribuer activement à la compétitivité et à l'attractivité du Luxembourg en développant les compétences de ceux qui font vivre son économie.

An wen richtet sich die Weiterbildung?

The persons concerned by the Training Programme are all persons placed under the authority of a professional (or acting on his behalf) subject to prudential supervision by the CSSF, i.e. individuals providing investment advice (“Advisory profile”) or information (“Information profile”) on financial instruments, investment services or ancillary services to clients.

Welche Ziele werden verfolgt bzw. welche Kompetenzen sollen erworben werden?

This module is part of the MiFID II Certification.

Wie sieht der Inhalt der Weiterbildung aus?

This module focuses on the risk, compliance and regulation aspects of the instruments covered in previous modules. As such, the specific topics in this section include:

  • Product governance processes under MiFID II – Target market assessment (with target market categories, client’s best interests rules, target market disclosures), Key points for product manufacturers (guidance notes, acquisition channels, etc.) and distributors (distribution strategies, third-country manufacturers, etc.), Proportionality (simple products, wholesale markets, secondary markets), Distributor feedback (aggregated/product-by-product feedback, non-advised sales), Portfolio diversification, Acquisition channels
  • Approval process - The approval process for each of the instruments mentioned above
  • Investor protection - The measures taken to protect the investors in each instrument type
  • Market transparency - A description of how transparent the market for each instrument is, i.e., does the investor understand how the market works
  • Risk management - The approach to risk management in the relevant market; the effectiveness of risk management
  • AML/CFT - Measures taken to prevent money laundering and financing of terrorism in the corresponding market; areas that still pose problems
  • Market abuse - Measures taken to prevent market abuse (e.g., insider trading, market manipulation) in the relevant market

Wann findet der nächste Termin statt?

Datum
Stadt
Sprache und Preis
09.12.2026
Luxembourg
EN 220,00€

Welche zusätzlichen Informationen sollte man haben?

Experienced professional specialists selected on the basis of their in-depth knowledge of markets, risk and compliance under MiFID rules I and II, and ESMA criteria.

Wie kann ich das Weiterbildungsinstitut kontaktieren?

House of Training

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