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
