MiFID II / MiFIR Overview

15Sep2021
16Sep2021

From 10:00 am until 12:45 pm

At Live Online

€180.00 (subject to 19% VAT)



Course Overview

Following the entry into force of MiFID II (1.1.2018) a lot of regulatory developments took place. In particular, several level 2 measures, ESMA guidelines and Q and As were issued, explaining numerous issues in relation to the implementation of specific issues. Investor protection, product governance, organisational requirements are included in the topics further elaborated by the European Commission and the ESMA. Professionals are supposed to apply all these rules in their daily business and their compliance with them is supervised by the relevant competent authorities. The objective of this seminar is to examine these developments and provide guidance to professional concerning the way they should be applied.

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Training Objectives

By the end of the programme, participants will be able to:

  • Update their knowledge in relation to the steady state of MiFID II and MiFIR requirements
  • Examine the way they should apply them
  • Review their internal arrangements, if appropriate
  • Solve questions they may have in relation to the implementation of MiFID II and MiFIR

  • Training Outline
  • Investment and ancillary services as per MiFID II
  • Client categorisation
  • Appropriateness and Suitability
  • Product Governance
  • Reporting Obligations
  • Best Execution
  • Best Execution obligation for Retail and Professional clients
  • RTS28 reporting
  • RTS27 reporting
  • Transaction reporting
  • Post-trade transparency
  • Pre-trade transparency
  • Trading obligation

  • Who Should Attend

    The programme is ideal for:

  • Senior Managers in Investment Firms
  • Compliance Officers
  • Internal Auditors
  • Internal Lawyers
  • External Auditors, Lawyers and Financial Consultants

  • Industry Expert | Alexis Zambas

    Alexis Zambas is an experienced financial services professional with more than 10 years of experience, during which he worked in large organisations such as PwC Cyprus and BrokerCreditService (Cyprus Limited) and has undertaken various positions including of the internal auditor, compliance officer, trainer, risk consultant, data protection officer and others, in regulations such as MiFIDII/MiFIR, MAR, EMIR, SFTR, GDPR, and more.

    Throughout his experience, he provided consulting services to major investment firms and financial institutions in Cyprus and has successfully implemented new regulatory frameworks such as MiFIDII/MiFIR, SFTR and GDPR within organisations.

    Finally, he has provided numerous trainings on all major regulatory frameworks to both internal as well as external audience.

    He is currently serving as the Head of Compliance for a Cyprus Investment Firm


    Training Style

    The programme is designed to deliver knowledge and enhance participants’ skills via short lectures and practical examples. Participants will also benefit from a Q&A session at the end of the programme and take away the knowledge gained to be transferred to their workplace.


    CPD Recognition

    This programme may be approved for up to 5 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.



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