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.

23 November 2020 (ENG) - Webinar format - 9am-1pm

25 January 2021 (ENG) - 9am-1pm

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.