Who is affected
Investment firms, banks providing investment services, management companies and advisers, plus compliance, advisory and back office.
Compliance evidence · TSP-verified certificates
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MiFID II
MiFID II regulates investment services and securities markets across the EU/EEA. The courses cover suitability and appropriateness assessment, best execution, product governance and target market, cost disclosure, inducements and transaction reporting.
Banking and finance
Insurance
Legal services
Real estate
Key requirements
- Suitability and appropriateness assessment of the client
- Product governance with a defined target market
- Best execution with a documented execution policy
- Cost and charges disclosure before and after trading
- Transaction reporting and recording of client communications
Available certifications
Certification track
MiFID II — Investment Services and Markets
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Open certification: MiFID II — Basic · Investor protection for all employeesBasic
MiFID II — Basic · Investor protection for all employees
A short introduction to MiFID II: what it is, who it affects, and the core of investor protection.
Free Start →45 min · Bronze / participant / yr -
Open certification: MiFID II — Investment Services and MarketsPro
MiFID II — Investment Services and Markets
Rules for investment services: investor protection, suitability, best execution, product governance and market transparency.
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Open certification: MiFID II — Expert · Suitability, best execution and reportingExpert
MiFID II — Expert · Suitability, best execution and reporting
An in-depth course: suitability/appropriateness, best execution, product governance, inducements, market transparency and transaction reporting.