Supervisory Challenges under MiFID II: How to Comply

Date: 04 October 2018

Time: 08:30

Duration: 2 days

Location: Trier, Germany

Cost: € 711,00 / € 790,00

Organiser: Academy of European Law

Web Link: https://www.era.int/cgi-bin/cms?_SID=8b518449fe8aa9aa2eb940e2603115dcb78f827000602909642540&_sprache=en&_bereich=artikel&_aktion=detail&idartikel=127340

Description:

Cancelled due to lack of participants (HS #349951) / MK

Objective:

This seminar will analyse key aspects of MiFID II such as trading venues, third-country provisions and supervisory challenges presented by its investor protection objectives. It will explain the practical steps to ensure compliance with MiFID II.

Key topics:

  • Brexit and third-country provisions;
  • Interaction with the GDPR and FinTech;
  • Compliance and complaints;
  • Underwriting and placing;
  • Safeguarding of client’s assets;
  • Pricing of research;
  • Trading venues: SMEs, CCPs, algorithmic trading.

Who should attend?

MiFID II lawyers, compliance officers, national and supranational supervisors