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03 Expert

MiFID II — Expert · Suitability, best execution and reporting

An in-depth course: suitability/appropriateness, best execution, product governance, inducements, market transparency and transaction reporting.

An expert course in MiFID II: client categorisation, suitability vs. appropriateness, best execution and the execution policy, product governance/target market, inducements/retrocessions and conflicts of interest, cost transparency, market transparency (MiFIR) and transaction reporting, plus organisational requirements and enforcement.

Content

Client categorisation and suitability

Categorisation, suitability vs. appropriateness and execution only.

  • Client categorisation in depth
    8 min
  • Suitability vs. appropriateness
    8 min
  • Financial instruments and services
    8 min
  • Quiz: Kundekategorisering og egnethet
    5 min

Best execution, product governance and inducements

Execution policy, target market/product governance, inducements/retrocessions, conflicts of interest and cost transparency.

  • Best execution
    8 min
  • Product governance and target market
    8 min
  • Inducements, conflicts and cost transparency
    8 min
  • Quiz: Beste utførelse, produktstyring og vederlag
    5 min

Market transparency, reporting and enforcement

MiFIR transparency and venues, transaction reporting, organisational requirements and enforcement.

  • Market transparency and venues (MiFIR)
    8 min
  • Transaction reporting and organisational requirements
    8 min
  • Enforcement and roadmap
    8 min
  • Quiz: Markedsåpenhet, rapportering og håndheving
    5 min