Compliance, Legislative & Regulatory Standards
Regulatory Environment - Part 12
This eCourse consists of two modules. Module 1 is video that provides a high level overview of the MiFID II/MiFIR regime in Europe. It covers topics such as the reasons why regulators decided to overhaul the original MiFID directive, the key areas addressed by the new regime, the affected parties, and the implementation timeline.
Module 2 covers the main areas covered by the MiFID II regime, including market structure, market transparency, investor protection, and transaction reporting.
On completion of this course, you will be able to:
- Recognize the impact of the MiFID II regime on financial market participants and structures and par, including organized trading facilities (OTFs), systematic internalizers (SIs), derivative trading obligations, market access, and dark pools and broker crossing networks
- Identify how MiFID II aims to improve both pre- and post-trade transparency
- Recognize the importance of transaction reporting and governance under the MiFID II framework
- Quantify the impact of MiFID II on the various business lines of financial institutions
Module 1: MiFID II/MiFIR - Primer
Module 2: MiFID II/MiFIR – Key Requirements
Topic 1: Market Structure
Topic 2: Market Transparency
Topic 3: Investor Protection
Topic 4: Transaction Reporting & Governance
Topic 5: Impact on Firms