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.

Contact us

Contact details

PwC's Academy, Crystal Park Building, PwC Luxembourg

Tel: +352 49 48 48 4040

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