Investor protection under MiFID II- Lessons for Portfolio Managers and Investment Advisers


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Course Overview/description

Although the broad concept of the MiFID II package is a huge collection of European Regulations/Directives and locally transposed legislation, covering everything from how firms and markets should be regulated to how trades should be reported, its dominant objective is to thoroughly cover Investor Protection provisions.
Special focus is hence placed on matters such as information communicated to clients, properly defining the target market and the distribution strategy depending on the client categorization, the suitability and appropriateness assessment of clients and best practices when handling client orders.
While the general philosophy of investor protection has largely remained the same since MiFID I, the obligations have increased under MiFID II, both in terms of breadth and depth.

Training Objectives

● to cover the investor protection provisions under MiFID II by making reference both to the legislation and also to the relevant ESMA Q&A publishings
● to provide an analysis of the requirements via practical examples

Training Outline

1. Client Categorization
2. Marketing information and communication with clients
3. Product Governance and Costs & Charges information
4. Distinguishing between marketing, Investment Research & Investment
5. Execution vs non-execution channel – Appropriateness & Suitability
6. Client order handling and best execution
7. Tied Agents

Who should attend

Investment Advisers, Portfolio Managers, Asset Managers providing MiFID services,
Brokers/Dealers, Compliance Officers, Executive and non-Executive Directors sitting on the Boards of regulated entities such as CIFs, UCITs and AIF Managers.

CPD hours and Recognition

Training Schedule

December 19, 10:00 – 16:00
Start date
December 19, 2022
Venue: Live online
CPD Units: 5 | Duration: 5 hours

Lecturer: Spyros Ierides, CFA, Chartered MCSI

Lecturer: Spyros Ierides, CFA, Chartered MCSI

Spyros Ierides holds a BSc in Economics from the University of Cyprus and an MSc inmEconomics from the University of Warwick. Additionally, he is a CFA Charterholder, a Chartered Member of the Chartered Institute for Securities and Investment (CISI), and a holder of the CySEC’s Advanced Certification. He began his career in 2008 as a trader of fixed income and interest rate futures, working in a local proprietary trading firm. He then moved on to work as a Dealer initially, and then as Head of Own Account Trading for a CIF. Between 2011 and 2018 he worked for the CySEC, both within the Investigations and Supervision Departments. Since then, he has been working at Bank of Cyprus as Head Premier Banking, providing investment services to the Bank’s clients. At the same time he has been utilizing his experience to deliver training courses on financial regulatory matters.

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