MiFID II – New Requirements for Investment Managers


Cost for BPP PD Members: £248 + VAT 3 CPD Hours
(£310.00 + VAT for non BPP PD Members Click Here for details of our membership scheme).

Composed of both a Directive to amend the existing MiFID and of new European Regulations, MiFID II moves the regulation of investment management from its familiar form into the new, politicised, style now adopted by the European Commission and the ESAs. All investment firms will be affected by the changes coming into force in the next two years. Prompt and robust preparation for implementation will enable firms to bring a measured approach to a further body of regulation from the EU.


Directors, senior executives and compliance professionals of fund management groups.

Learning outcomes include a greater understanding of:

  • The impact of MiFID II on fund management firms

You will also learn, in the context of these directives, about:

  • ESMA’s role in drafting and overseeing regulation
  • The intentions of the European Commission

Course Content

  • Introduction to the directive
  • Political background: what the EU thinks it is doing
  • Timing of introduction of new requirements: how much time do we have?
  • Key changes to MiFID and EC purpose: focus on the big picture and understand the concepts and reasons for further change
  • New regulatory reporting requirements: what’s new and how much will systems changes be required
  • Changes to disclosure and marketing requirements: new compliance requirements in this high profile area
  • Impact on promotion of UCITS: will UCITS remain non-complex products or will appropriateness creep into every corner?
  • Changes to transaction requirements: trade reporting and transaction reporting remain a regulatory focus requiring careful and diligent implementation
  • Role of the EU institutions: European Commission, ESMA and European Parliament
  • Group discussion of proposals: a chance to comment, a moment to hear others

"A CPD certificate of completion will be provided by BPP Professional Education Limited upon request, following attendance."

Course Dates

Location Dates Time Availability  
London 10 Apr 2019 2:00 PM - 5:15 PM  Spaces Book Now
London 16 Oct 2019 9:00 AM - 1:00 PM  Spaces Book Now

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