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LIVE ONLINE WEBINAR - MiFID II Product Governance
- Χρηματοοικ. Ασφαλιστικά Τραπεζικά
Αγγλικά
5 ώρες
(
2 μέρες
)
ΠΕΡΙΓΡΑΦΗ
Product governance is probably the most important new subject area for financial services professionals in the EU. It finally entered the regulatory vocabulary at European level with the implementation of MiFID 2, closely followed by that of the Insurance Distribution Directive’s own provisions on the subject. ESMA has already intervened in the marketing and promotion to retail customers of binary options and contracts for differences and Cyprus has responded to the ending of the ESMA measures by implementing its own intervention in September 2019.
The subject has two sides to it. First, there is the process of carrying out product governance, the structures that businesses need to have in place to meet the regulators’ objectives. Then, there are the various tasks that manufacturers and distributors must undertake when launching products and on an ongoing basis.
In a turbulent compliance environment, regulators around the world are increasingly turning towards product governance, its processes and activities as a key to avoiding future miss-selling scandals. Yet, problems in this area keep emerging as businesses try to promote products using inappropriate distribution or without properly defined target markets or business controls.
ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ
By the end of the programme, participants will be able to:
- Understand the key MiFID and MiFID-related provisions on product governance
- Appreciate the goals of product governance and the risks of not achieving them
- Identify strengths and weaknesses in product governance structures
- Identify the positive and negative target markets of investment products and services
- Piece together the key elements in designing a product or service
- Determine the types of distribution that would not be suitable for certain types of products
- Gather key management information about the success or otherwise of the governance process
ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ
Who should attend
The programme is ideal for:
- Complaint handlers
- Customer relations and customer service staff
- Lawyers
- Risk managers
- Board directors and chief executives
- Compliance officers and managers
- Marketing people
- Product technicians
ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ
Training Outline
- Defining manufacturer and distributor
- National product intervention powers
- The product governance arrangements
- The “product governance committee”
- Role of compliance and the Board
- Core principles – conflicts of interest, join-ventures
- Tasks
- Target market – manufacturer’s and distributor’s roles
- Product design
- Product testing
- Selecting distribution
- Providing information to distributors – distributors obtaining it
- Monitoring distribution
- Reviews and ongoing monitoring
Training Style
The training style is interactive involving a combination of discussions and presentation, group work and case studies (taken from real-live examples). Participants are encouraged to share their opinions from their different perspectives.
CPD Recognition
This programme may be approved for up to 15 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.
Trainer
Adam SamuelAdam Samuel is a lawyer qualified in the UK and the USA. Since 1996, Adam has run his own training and consulting business, helping out regulators in three continents on customer-facing issues. He has the qualifications required of financial, mortgage and equity release advisers and the UK CISI compliance diploma.
Adam wrote the only book on consumer financial services complaint handling in the UK and a guide to the SFC Code for Intermediaries in Hong Kong. The Gibraltar Supreme Court followed his expert evidence in van Geens v. Jyske Bank on product risk, compliance and advice standards around the world. Adam has broadcast on a number of BBC domestic and World Service programmes, including the national news, on financial services compliance and banking issues
Πληροφορίες Εκπαιδευτή
Adam Samuel - Lawyer & Independent Financial Services Professional
Αναλυτικό Κόστος Σεμιναρίου
- € 200.00
- € 0.00
- € 38.00
- € 200.00
- € 238.00
ΠΡΟΓΡΑΜΜΑ ΣΕΜΙΝΑΡΙΟΥ
Εκδήλωση Ενδιαφέροντος : LIVE ONLINE WEBINAR - MiFID II Product Governance
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