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Course List
Introduction to the Securities Industry
Introduction to the Securities Industry
Introduction to U.S. Securities Processing
Securities Lending and Borrowing : An Operations Perspective
Foundations of Investment Management and Buyside Operations
Dealing with Change in the Financial Markets
Collateral Management: An Operations Perspective
International Issues
International Securities Operations
International Portfolio Accounting
Foreign Currency: Markets, Clearance, Settlement & Accounting
Foreign Exchange: Lifecycle of a Trade
Corporate Actions
U.S. Domestic Corporate Actions
Global Corporate Actions
Capital Markets
Capital Markets Overview
Capital Market Economics - Investigating the Linkages Between the Real Economy and the Financial Markets
Portfolio Management
Portfolio Management
Securities Analysis
Managing Risk
Risk in a Global Market - Management and Operational Challenges Looking Forward
Financial Management
Financial Accounting and Financial Mathematics
Financial Statement Analysis
Fixed Income Securities
Bond Math: Mathematics of the Fixed Income Market
Structured Securities: MBS, ABS, CDOs
Introduction to Fixed Income Products
Accounting for Fixed Income Securities and Derivatives
Mortgage-Backed Securities
Collateralized Debt Obligations and Credit Default Swaps (CDOs and CDS)
Fixed Income Analytics
Interest Rate Swaps and Credit Default Swaps
Fixed Income Securities Trade Processing and Operations
Accounting, Regulatory & Management
Stock Brokerage Accounting & Securities Regulations
Introduction to Private Equity Markets
Trading After the Volcker Rule
Dodd-Frank for Non-US Derivatives Users
Complying with the MiFID II/MAR Rules
Introduction to Derivative Products
Derivatives: Markets, Operations, Accounting & Control
Derivative Products: Risk Management and Valuation
Option Valuation and Trading
Equity Derivatives: Futures and Swaps
Interest Rate Futures and Swaps
Introduction to Options: Products, Trading & Processing
Swaps Processing and Operations
Commodity Futures: Energy, Metals and Agricultural
Equity Options: Strategies, Accounting and Operations
Mutual Funds
Introduction to Mutual Funds
Mutual Fund Operations

Course Description
Complying with the MiFID II/MAR Rules
Available Dates:
There are no dates available.
Course Code: 809
Duration: 1 day
Level: Intermediate
Fee: $795.00
CPE Credits: 7
Prerequisite: No Prerequisite Required.

The blizzard of market regulations coming on-stream in Europe poses significant hurdles for global market participants. Some of these rules are triggered by the parties to a trade and some by the instrument involved, and some by both. In many cases, these rules conflict with rules from other jurisdictions, and sometimes they conflict internally.

This one-day course will take you through the major components of both MiFID II/MiFIR and MAR/MAD, indicating the applicability of each section and outlining the impacts on both dealers and asset managers.

Topics for Discussion Include:

  • The EU regulatory process
  • The individual regulations
  • Overall concerns
  • MiFID II/ MiFIR specifics
  • Best Execution
  • Transaction Reporting
  • Trading Obligation
  • Pre-Trade Transparency
  • Unbundling of Research
  • Market Structure
  • Algorithmic Trading
  • Internal Rule Conflicts
  • MAR/MAD Specifics
  • Insider Trading
  • Market Manipulation
  • Detection and Reporting
  • Global implications and conflicts

After attending this seminar, participants should be able to:

  • Identify the impacts of each of the EU regulations on their businesses
  • Identify what factors control the applicability of  the rules to individual trades
  • Identify rule conflicts that will have to be handled