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MiFID II: Regulatory, Risk, and Compliance

by Rodrigo Zepeda

Languages: English

Price (from): €2,000

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About the trainer:

Rodrigo Zepeda is Co-Founder and Managing Director of Storm-7 Consulting. He is an expert consultant who specialises in derivatives and banking and financial services law, regulation, and compliance. He is an expert in a very broad range of regulatory compliance frameworks such as FATCA, the OECD CRS, MiFID II, MAD 2 MAR, PSD2, CRD IV, Solvency II, OTC Derivatives, CCP Clearing, PRIIPs, BRRD, AML4, and the GDPR. He holds a LLB degree, a LLM Masters degree in International and Comparative Business Law, and has passed the New York Bar Examination. He was an Associate (ACSI) of the Chartered Institute for Securities & Investment from 2004 to 2014 and is now a Chartered Member (MCSI). He has created and delivered numerous conferences and training courses around the world such as 'FATCA for Latin American Firms' (Santo Domingo, Dominican Republic, Panama City, Panama), 'MiFID II: Regulatory, Risk, and Compliance (London), and 'Market Abuse: Operational Compliance' (London), 'AEOI (FATCA & CRS)' (London, Lebanon, Dubai, Malta, Manama, Bahrain); AML/CFT: Operational Compliance (Dubai, London); MLRO: Operational Compliance (London).

He has also delivered numerous In-House Training Courses around the world to major international financial institutions such as The Abu Dhabi Investment Authority (MiFID II: Operational Compliance, Abu Dhabi, the United Arab Emirates); the United Nations Principles of Responsible Investment (MiFID II: Final Review, London); CAF, the Development Bank of Latin America (Swaps and Over-the-counter Derivatives, Lima, Peru); Eurex Exchange (CCP Clearing, Risk Management, Recovery and Resolution, Eschborn, Germany); European Energy Exchange AG (CCP Clearing, Risk Management, Recovery and Resolution, Leipzig, Germany); Rothschild Investment Management (UK) Limited (AEOI (FATCA & CRS), London); Resolution Life (AEOI (FATCA & CRS, London); CCP Clearing, Risk Management, Recovery and Resolution; Bethmann Bank AG (MAD 2 MAR, Frankfurt); Saxo Capital Markets (MAD 2 MAR, London); and Invesco Management, S.A. (AML/CFT, Henley); Validus Risk Management (OTC Derivatives, Eton).

For 2019 he has created some of the most cutting edge training courses available on the market today, including Artificial Intelligence in Banking and Financial Services; Supervisory Technologies (SupTech); The European Margin Rules; The 2018-2020 Collateral Paradigm; AML & CFT  Advanced Practitioner; Virtual Currencies, AML, CFT: Operational Compliance; and Behavioural Persuasion Masterclass. He is a Reviewer for the Journal of Financial Regulation and Compliance and has also published widely in leading industry journals such as the Capco Institute's Journal of Financial Transformation, the Journal of International Banking Law and Regulation, as well as e-books on derivatives law. Noted publications include "Optimizing Risk Allocation for CCPs under the European Market Infrastructure Regulation"; "The ISDA Master Agreement 2012: A Missed Opportunity"; "The ISDA Master Agreement: The Derivatives Risk Management Tool of the 21st Century?"; "To EU, or not to EU: that is the AIFMD question"; and "The Industrialization Blueprint: Re-Engineering the Future of Banking and Financial Services?".

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MiFID II: Regulatory, Risk, and Compliance by Rodrigo Zepeda

About the training

#MiFID II and MiFIR Regulation   #MiFID II and MiFIR Risk Management   #MiFID II and MiFIR Compliance

This intermediate to advanced level training programme will provide attendees with comprehensive training in all the latest updated Markets in Financial Instruments Directive (MiFID II) regulatory, risk, compliance and implementation issues affecting financial services firms in the European Union (EU). Attendees will be guided in detail through the latest MiFID II and Markets in Financial Instruments Regulation (MiFIR) operational frameworks, and will be provided with a critical and explanatory review of the latest draft Level 2 texts published by the European Securities and Markets Authority (ESMA). The training programme will provide extensive guidance on the new MiFID II provisions affecting over-the-counter (OTC) and commodity derivatives trading, algorithmic trading, and dark trades and dark pools. The programme can be specifically tailored to meet a company's training needs by allowing companies to choose from a diverse range of 10 Modules covering MiFID II operational frameworks. A company can opt for either a 1 day (4 Modules) or a 2 day (8 Modules) training programme.

Learning outcomes

MiFID II Business Strategies

Attendees will be updated on MiFID II business strategies for financial services firms (e.g., minimising operational losses on Return on Equity, changing strategic business directions, minimising the MiFID II negative impact on future profitability); identifying new post-MiFID II ‘hot’ target markets; and EU market capitalisations strategies (high negative impact on cost-income ratios, Third-Country Firm passporting, SME growth markets).

MiFID II Framework

Attendees will be comprehensively instructed on all the major changes ushered in by the MiFID II framework, including market structure, trade and transaction reporting, position limits and reporting, algorithmic trading, dark pools, third country frameworks, organisational requirements, investor protection, and compliance technologies.

MiFID II Regulatory Issues

Attendees will be updated with the latest and most relevant MiFID II regulatory issues and ESMA technical standards affecting financial services firms in the EU, as well as insights into how to optimise and leverage MiFID II regulatory compliance frameworks.

Financial Services Firms Strategies

Attendees will learn how MiFID II will affect financial services firms from legal, financial, operational, technological and strategic perspectives.

Program

  • An Introduction to the New MiFID II Operational Framework

  • Market Structure, Trade Reporting and Transaction Reporting

  • Transparency, Position Limits and Position Reporting

  • Organisational Requirements, Conduct of Business Rules and Investor Protection

  • The Third Country Firm Framework

  • Over-the-counter (OTC) and Commodity Derivatives

  • Liquidity, Algorithmic Trading, and Dark Pools

  • MiFIR Reporting Framework

  • Use of Technology and Software in MiFID II Compliance Programs

  • The Operational Impact of MiFID II and Strategic Analysis

Main benefits

  • #Wide collection of the biggest experts
  • #Filters for all kinds of needs
  • #User friendly platform
  • #Fast and cheap
  • #Highest level of proficiency