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FINANCIAL MARKET COURSES

Markets in Financial Instruments Directive (MiFID)

MiFID – the Markets in Financial Instruments Directive – is a key part of the European Commission’s Financial Services Action Plan (FSAP). It was introduced to replace the Investment Services Directive (ISD), the former regulatory cornerstone for European investment firms, and provides for a comprehensive regulatory regime covering investment services and financial markets in Europe.

 

This course introduces the MiFID regulations, explains the key features of the Directive, and identifies the main market participants to whom MiFID applies.

  • OBJECTIVES

    On completion of this course, you will be able to:

    Explain what MiFID is and how it developed

    List the entities, activities, and instruments that are covered and exempted from MiFID provisions

    Identify the key features of MiFID

  • COURSE OUTLINE

    Topic 1: Introduction to MiFID

    What is MiFID?

    Lamfalussy Procedure

    Topic 2: To Whom Does MiFID Apply?

    Applicants to MiFID

    Exemptions From MiFID

    Scope of MiFID

    Topic 3: Key Aspects of MiFID

    Authorization, Regulation, & Passporting

    Abolition of the ‘Concentration Rule’

    Client Classification

    Pre- and Post-Trade Transparency

    Best Execution

    Appropriateness Test

    Inducements

    Customer Order Handling

    Record- Keeping

    Internal Control & Management

    Outsourcing

    Safeguarding Client Assets

    Reporting

    Transactions to Financial Regulators

  • PREREQUISITE KNOWLEDGE

  • ESTIMATED COMPLETED TIME

    60 Minutes

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