MiFID II - an internal audit perspective
MiFID II is live since 3 January 2018. Financial institutions have reviewed, reshaped and processed major changes in their organisation and market governance approaches to comply with its requirements.
As an internal auditor, MiFID II will affect your risk assessment, your internal audit plan and the way you will build your testing plans.
3 May 2021 (FR) - 9am-1pm
Price: 650.00 €
Duration: 4h
Language: English
Number of participants: max. 20
Objectives
By the end of this course, participants will:
- Have reviewed major impacts of MiFID II and their implications on internal audit responsibilities;
- Have identified the changes and amendments to be made on their current plans and procedures;
- Have determined their next steps to embed MiFID II in their responsibilities.
Content
- Introduction
- Prospecting & Information to provide on recent regulatory changes
- Contracting cycle – Controls
- Transaction cycle – Controls
- Product governance – Controls
- Client reporting – Controls
- Inducements
- Governance and organisational aspects
- Knowledge & Competence
- Safeguarding of assets
- Best Execution
- Transaction Reporting
Target audience
- Internal auditors
- Head of internal audit department
Our lead experts
Responsible for Risk Assurance Services, Pierre François Wery is Réviseur d’Entreprises Agréé, Master in Law and Certified Fraud Examiner.
He is a Board Member of the Institute of Internal Auditors Luxembourg (IIA). He has 28-years experience in Internal and External Audit, Forensic and Advisory services in the financial, commercial and industrial sectors in Luxembourg.
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