ΠΕΡΙΓΡΑΦΗ

This course provides participants with essential knowledge and practical skills to navigate the complex regulatory landscape of the financial sector. It covers key topics, including the MiFID II prudential regime for investment firms, whistleblowing frameworks, internal governance best practices, and the use of regulatory sandboxes to foster innovation while ensuring compliance. Designed for compliance officers, financial executives, legal advisors, and regulatory professionals, the course equips participants with the tools to strengthen governance structures, implement effective whistleblowing mechanisms, and manage regulatory sandbox projects. 

Why Register for This Course?

• Gain a deep understanding of the key regulatory frameworks affecting investment firms, including MiFID II and whistleblowing mechanisms.
• Learn through case studies and real-world scenarios to implement effective governance structures and whistleblowing mechanisms.
• Understand how to leverage regulatory sandboxes to test innovative solutions while maintaining compliance.
• Benefit from the guidance of industry experts with extensive experience in financial regulation and compliance.
• Enhance your skills and knowledge in regulatory compliance, positioning yourself as an asset in the competitive financial sector.
• Stay ahead of regulatory changes, minimizing risks and ensuring your firm’s operations meet evolving standards.

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This programme may be approved for up to 10 CPD Points. Eligibility criteria and CPD Points are verified directly by your association, regulator or other bodies which you hold membership.

ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ

What This Course Aims to Do

• Provide an understanding of the MiFID II prudential regime, including firm categorization, capital requirements, risk management, and reporting obligations.
• Equip participants with the skills to implement whistleblowing frameworks that protect whistleblowers and enhance transparency and accountability.
• Develop participants’ ability to establish robust governance structures, including board composition and committee functions.
• Train participants to navigate and manage regulatory sandboxes, balancing innovation with regulatory compliance.
• Empower professionals to proactively adapt to evolving regulatory requirements, ensuring financial stability and organizational integrity.

ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ

The course is aimed at:

• Senior Management and Board Members responsible for governance, strategy, and oversight in investment firms.
• Compliance and Risk Professionals focused on regulatory adherence, risk management, and whistleblowing frameworks.
• Legal and Regulatory Specialists advising on MiFID II, corporate governance, and regulatory sandboxes.
• Finance and Audit Teams handling capital requirements, financial reporting, and governance-related compliance.
• Innovation Leaders managing projects in regulatory sandboxes while balancing innovation and compliance.

ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ

Course Content

Module 1: Categorization of Investment Firms and Prudential Requirements

• Categorization of investment firms under MiFID II and criteria for classification.
• Explanation of new prudential requirements, including capital requirements, risk management, and reporting obligations.
• Transitional provisions for firms complying with the new prudential regime.
• Analysis of the impact of these changes on the financial and operational structures of investment firms.

Module 2: Whistleblowing Framework and Reporting Mechanisms

• Overview of whistleblowing frameworks, including objectives, goals, and scope.
• Personal scope of individuals covered under whistleblowing regulations.
• Explanation of the 3-tier model for whistleblowing reporting, emphasizing transparency and accountability.
• Importance of confidentiality and anonymity in protecting whistleblowers and ensuring ethical reporting.

Module 3: Internal Governance and Board Responsibilities

• Composition and role of the Board of Directors in corporate governance.
• Responsibilities and functions of key committees: Risk, Audit, Nomination, and Remuneration.
• Review of principles governing remuneration and variable remuneration, ensuring compliance with ethical and regulatory standards.
• Overview of governance-related reporting requirements, including board and remuneration reports.

Module 4: Regulatory Sandboxes

• Overview and objectives of regulatory sandboxes in fostering innovation while ensuring compliance.
• Eligibility criteria for participation in regulatory sandboxes.
• Detailed exploration of the four phases of regulatory sandboxes: Application, preparation, testing, and evaluation/exit.
• Managing projects within a regulatory sandbox, balancing innovation and compliance throughout the process.

This course offers a strategic blend of theoretical knowledge and practical skills, enabling participants to manage regulatory challenges effectively while driving innovation and compliance in their organizations.