MiFID II Workshop - 20th October 2017

In April 2014, the European Union approved MiFID II, an updated version of the original Markets in Financial Instruments Directive (MiFID), implemented in 2007. The directive provides a harmonised regulation for investment services across all 31 member countries of the EEA (European Economic Area).

MiFID II is set to take effect in January 2018 so firms don’t have long to get up to speed with this new regulatory regime.

MiFID II is expected to present a significant compliance challenge for all firms already within the remit of MiFID and, potentially, for many more that may come under the new Directive. The overall aim of MiFID II is to increase the range of its application to the industry, therefore reducing investment firms’ scope for operating outside this Directive.

With this in mind, Thistle Initiatives will be holding a workshop on the 20th October 2017 at 29/30 Fitzroy Square, London, providing valuable and practical advice to help you prepare for the implementation of MiFID II. This will also be a great networking opportunity, giving you the chance to share ideas with like-minded business people.

Price

Places are charged at £75 + VAT per person.

To book your place at our workshop, please fill in your details at bottom of the page.

Key topics to be covered include:

• Directive implementation date and method of implementation
• FCA consultation paper – CP 16/19 and Policy Statement for 2017
• MiFID and its relationship to MIFIR/Regulatory Technical Standards
• Overall aim and coverage of the Directive and RTS
• Algorithmic and high-frequency traders/commodity derivatives now in scope
• Narrowing of scope for execution-only sales
• Product approval requirements
• “Sound security mechanisms”
• CASS title transfer collateral arrangements to be banned
• Conflicts of interest – strengthening of requirements
• Independent advice
• Remuneration policies
• Tied agents
• Definition of eligible counterparties
• Call recording
• Complaint handling rules – creation of “MiFID complaints”
• MIFIR transparency requirements
• MIFIR transaction reporting requirements/natural person identifiers
• FCA fees
• and much more…

Please click here to see the full agenda

Agenda 

10. 00 – 10.30 a.m. Welcome and Refreshments

10.30 – 11.30 a.m. Session 1 – Keith Maner

11.30 – 12 p.m. Break

12.00 – 1.00 p.m. Session 2 – Alex Paschalis

1 p.m. onwards Q&A and Finish

Your presenters

Your presenters for the day are Keith Maner and Alex Paschalis, both of whom are managers in Thistle Initiatives’ regulatory practice.

Keith and Alex have specialised in MiFID regulation for a considerable time and will provide a detailed update of the status of the Directive’s implementation. They will cover all of the key areas of operation expected to be affected by the Directive, with a particular focus on new requirements applying to firms in scope for MiFID and those that have previously been out of scope.

Keith Maner – Compliance and Technical Manager

Keith has over twenty-five years’ experience in financial services, including fifteen years in regulatory compliance. Before joining Thistle, Keith held a Compliance Officer role for a discretionary portfolio management and pooled fund group. Prior to this, Keith worked at the then regulator, the FSA and its predecessor, IMRO. Keith’s specialist areas are UK financial services regulation, crowdfunding and authorised/unauthorised collective investment schemes.

 

 

 

Alex Paschallis – Director 

Alex is a Director of Thistle Initiatives Limited, possessing twenty years’ experience of complex financial products. Alex’s experience includes ten years as a proprietary trader covering FI and energy products, from open outcry to screen based trading. Before joining Thistle, Alex held a front office Compliance Business Analyst role for a multi-asset trading team covering equities, FI, FX, commodities and CFDs. Alex’s specialist areas include investment compliance support, FCA applications authorisation, variations, enforcement action advice, and financial crime auditing.

 

 

Places are charged at £75 + VAT per person.

To book your place at our workshop, please fill in your details below.

    MiFID II Workshop: 20th October 2017 - London:


Date: Friday 20th October 2017
Region: London
Location: 29-30 Fitzroy Square, Fitzrovia, London, W1T 6LQ
Time: 10.00am until 1.00pm

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