MiFID II - Key Impacts & Considerations
UK Publications, Written by CCL
20/06/2017

 On the 13th June, CCL Compliance and CCL Academy co-hosted two briefings highlighting the key impacts of MiFID II for Sell-Side and Buy-Side Firms.
These complimentary briefings were designed for compliance and training staff of financial services firms.

Sell-Side

Introduction, Objectives and Market Structure
Speaker: Peter Haines, Global Head of GRC, CCL Academy

Product Governance, Suitability and Appropriateness
Speaker: Stuart Holman, Managing Director, Consultancy Services, CCL Compliance

Conflicts of Interest, Inducements and Marketing
Speaker: Martin Mitchell, Director of Learning (UK), CCL Academy

Trading and Execution
Speaker: Nigel Sydenham, Head of GRC (UK), CCL Academy

Reporting and Transparency
Speaker: Bruce Viney, Global Head of FCC, CCL Academy

MiFID II Training
Speaker: Peter Haines, Global Head of GRC, CCL Academy

Download the presentations from this event for further details
 

 Buy-Side

Organisational Requirements
Speaker: Carwyn Evans, Managing Director, Consultancy Services, CCL Compliance

Transparency
Speaker: Stuart Holman, Managing Director, Consultancy Services, CCL Compliance

Record-Keeping and Reporting
Speaker: Carwyn Evans, Managing Director, Consultancy Services, CCL Compliance

Conduct of Business
Speaker: Stuart Holman, Managing Director, Consultancy Services, CCL Compliance

Training for Buy-Side Firms
Speaker: Peter Haines, Global Head of GRC, CCL Academy

Download the presentations from this event for further details