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WealthBriefing London MiFID II Summit
The countdown to MiFID II: Compliant Operations with Minimum Costs & Risks
Five years in the making, the replacement for the European Union’s original and current MiFID (2007) consists of a regulation (MiFIR) and a gigantic new directive, MiFID II, which comes into force on 3rd January 2018. There will be no transitional period; wealth management firms will have to comply on day one. ‘Brexit’ cannot happen before that date and the new package will therefore apply to the UK in its entirety, along with the inevitable regulatory ‘gold plating’ for which the UK is famous throughout Europe.
Topics for discussion will include:
• Evidencing best execution
• Transaction monitoring and reporting
• Communication records in a world of “omni-channel”
• Disclosure of costs and performance reporting
• Client segmentation and sales tracking
• Investor protection, notably on safeguarding of clients’ funds and financial instruments
• Conduct of business obligations in the provision of investment services
• Organisational requirements for investment firms
• Data reporting service providers
• Pre-trade transparency for package transactions
• Transparency for securities financing transactions
Heiko Stuber, Senior Product Manager at SIX Financial Information will speak on MiFID II and new challenges in product governance.
Date: Wednesday 24th May, 2017
Time: 8:00 am – 2:00 pm
Location: The Savoy Hotel, Strand, London, WC2R 0EU
For more information visit: London MiFID II Summit Website