Formation - MiFID II - Risk, Compliance, Regulations (FR)

Combien de temps dure la formation ?

8,00 heure(s)

Dans quelle(s) langue(s) la formation est-elle donnée ?

Quand a lieu la prochaine session ?

Qui organise cette formation ?

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.

Le contenu de cette page n'est pas disponible en français

À qui s’adresse la formation ?

The persons concerned by the Training Programme are all persons placed under the authorityof 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.

Quels sont les objectifs poursuivis ou les compétences visées ?

This module is part of the MiFID II Certification.

Quel est le contenu de la formation ?

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

Quelles informations supplémentaires sont utiles à savoir ?

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.

Course material: English

Assessment and Certification: English or French