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Faster path from MiFID II compliance intent to implemented policy

$199.00
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A tailored course, built for your situation

Faster path from MiFID II compliance intent to implemented policy

A 199 course tailored for Charlotte at the firm

$199 one-time
24-hour access provisioning 30-day money-back guarantee Hand-built implementation playbook
12 modules. 12 chapters per module. 144 chapters total.
12 modules, each with 12 chapters (144 chapters total), text-based, plus downloadable templates and a hand-built implementation playbook delivered alongside course access.
Compliance teams still take weeks to translate MiFID II updates into deployable controls

The situation this course is for

Regulatory changes land on desks with tight deadlines, but teams stall in interpretation loops, cross-departmental alignment, and documentation rework, slowing time to compliance and increasing operational risk.

Who this is for

Analyst at a global financial institution working on regulatory implementation, with direct exposure to MiFID II reporting and compliance workflows

Who this is not for

This course is not for consultants selling compliance programs, vendors marketing regulatory tech, or executives seeking board-level summaries. It's for practitioners who write, refine, and operationalise policy.

What you walk away with

  • Turn new MiFID II obligations into drafted control mappings in under two business days
  • Reduce back-and-forth with legal and trade surveillance teams by 60% using pre-structured templates
  • Produce regulator-ready documentation that passes internal audit on first submission
  • Anticipate reporting edge cases in transaction transparency and best execution ahead of implementation
  • Own the end-to-end workflow from ESMA publication to signed-off internal policy

The 12 modules (with all 144 chapters)

Module 1. Interpreting MiFID II amendments with precision
Break down new or updated MiFID II provisions into actionable components using clause-by-clause analysis patterns used by top-tier compliance teams.
12 chapters in this module
  1. Identify binding vs explanatory text
  2. Map articles to obligation types
  3. Flag cross-references to EMIR and MAR
  4. Classify reporting requirements
  5. Determine scope of application
  6. Assess impact on trading venues
  7. Evaluate best execution updates
  8. Track changes from prior version
  9. Use ESMA Q&A as anchor
  10. Prioritise high-risk clauses
  11. Determine delegation applicability
  12. Document initial interpretation
Module 2. Control mapping for transaction reporting
Translate MiFID II reporting mandates into specific, testable control statements that align with trade lifecycle systems.
12 chapters in this module
  1. Define data fields per RTS 22
  2. Map fields to source systems
  3. Identify missing data gaps
  4. Assign ownership by field
  5. Set validation rules
  6. Link to trade capture systems
  7. Flag high-change-risk fields
  8. Build reconciliation points
  9. Integrate with reference data
  10. Design exception handling
  11. Align with ISO 20022 schema
  12. Document control logic
Module 3. Best execution policy structuring
Build defensible, evidence-based best execution frameworks that satisfy both regulator and internal audit.
12 chapters in this module
  1. Define execution venues
  2. Categorise order types
  3. Set benchmarks for performance
  4. Document venue selection
  5. Incorporate latency metrics
  6. Include cost of execution
  7. Update frequency rules
  8. Capture client segmentation
  9. Track broker performance
  10. Integrate with order routing
  11. Test data completeness
  12. Produce audit trail
Module 4. Workflow integration for faster sign-off
Design approval paths that accelerate internal review without sacrificing rigour or traceability.
12 chapters in this module
  1. Identify required reviewers
  2. Set escalation triggers
  3. Define review timelines
  4. Create parallel paths
  5. Build version control
  6. Link to change management
  7. Automate reminders
  8. Integrate legal sign-off
  9. Track decision rationale
  10. Archive approvals
  11. Notify downstream teams
  12. Close implementation loop
Module 5. Template design for repeatable outputs
Develop standardisable documentation formats that reduce rework and maintain consistency across updates.
12 chapters in this module
  1. Define core document types
  2. Set header standards
  3. Build modular sections
  4. Use controlled vocabulary
  5. Insert placeholder logic
  6. Design version footer
  7. Link to policy library
  8. Embed change tracking
  9. Standardise naming
  10. Integrate with SharePoint
  11. Set retention rules
  12. Publish to stakeholders
Module 6. Stakeholder alignment without delays
Engage legal, trading, and surveillance teams efficiently with pre-built alignment frameworks.
12 chapters in this module
  1. Map stakeholder interests
  2. Define input requirements
  3. Set consultation cadence
  4. Draft feedback forms
  5. Schedule touchpoints
  6. Capture objections early
  7. Summarise input
  8. Resolve conflicts
  9. Track decisions
  10. Communicate outcomes
  11. Update documentation
  12. Confirm closure
Module 7. Audit-ready documentation patterns
Structure files and metadata so internal and external auditors can validate compliance quickly.
12 chapters in this module
  1. Organise file hierarchy
  2. Set naming convention
  3. Include evidence trail
  4. Link policy to controls
  5. Add version history
  6. Insert review dates
  7. Attach legal opinions
  8. Store interpretations
  9. Index reference material
  10. Tag by MiFID II article
  11. Enable searchability
  12. Secure access
Module 8. Change impact assessment
Quickly evaluate how MiFID II updates affect existing policies, systems, and reporting obligations.
12 chapters in this module
  1. List affected policies
  2. Identify impacted teams
  3. Flag system changes
  4. Assess training needs
  5. Estimate timeline
  6. Calculate resource needs
  7. Build dependency map
  8. Set risk rating
  9. Communicate changes
  10. Track implementation
  11. Validate post-go-live
  12. Close assessment
Module 9. Evidence compilation for regulators
Assemble documentation packages that anticipate ESMA and national regulator follow-ups.
12 chapters in this module
  1. Define evidence types
  2. Gather internal memos
  3. Collect trade data samples
  4. Include system logs
  5. Add approval records
  6. Reference policy versions
  7. Show testing results
  8. List exception cases
  9. Summarise remediation
  10. Bundle into submission
  11. Verify completeness
  12. Submit with cover
Module 10. Policy version control
Maintain clear lineage between MiFID II updates and internal document revisions.
12 chapters in this module
  1. Set version numbering
  2. Log changes made
  3. Identify who changed
  4. Record date and time
  5. Store previous versions
  6. Link to amendments
  7. Notify affected parties
  8. Archive obsolete versions
  9. Secure access
  10. Audit access logs
  11. Set retention period
  12. Close version cycle
Module 11. Cross-border reporting alignment
Harmonise MiFID II implementation across jurisdictions with divergent enforcement.
12 chapters in this module
  1. Map national regulators
  2. Compare enforcement focus
  3. Identify reporting differences
  4. Set localised controls
  5. Align with home state
  6. Document local variations
  7. Train regional teams
  8. Monitor divergence
  9. Update for convergence
  10. Report centrally
  11. Track exceptions
  12. Close gaps
Module 12. Continuous improvement loop
Incorporate feedback and audit findings to strengthen future MiFID II responses.
12 chapters in this module
  1. Collect internal feedback
  2. Review audit outcomes
  3. Track rework causes
  4. Update templates
  5. Revise workflows
  6. Train team members
  7. Test improvements
  8. Measure cycle time
  9. Benchmark against peers
  10. Adopt new tools
  11. Share best practices
  12. Close improvement loop

How this maps to your situation

  • When a new MiFID II amendment is published
  • During quarterly internal audit preparation
  • Ahead of ESMA review cycles
  • After cross-functional feedback delays

Before vs. after

Before
Spending weeks aligning teams and drafting controls from raw MiFID II text
After
Producing signed-off, auditable policy artefacts in under 10 days

What's included with your purchase

  • 12 modules with 12 chapters each (144 chapters)
  • Downloadable templates and worked examples for every module
  • Hand-built implementation playbook delivered alongside course access
  • 30-day money-back guarantee

Delivery and format

  • Course and learning environment access provisioned within 24 hours of purchase
  • Hand-built implementation playbook delivered alongside course access

Format: Text-based modules and chapters in the Art of Service learning environment, plus downloadable templates and worked examples for every chapter, plus the hand-built implementation playbook delivered alongside course access.

Time investment: Approximately 3 hours per module, designed to be completed alongside regular workload over 4-6 weeks.

If nothing changes
Continuing with ad-hoc workflows means longer cycle times, repeated requests for clarification from auditors, and increased risk of reporting gaps during inspections.

How this compares to the alternatives

Unlike generic compliance courses, this program delivers specific, actionable workflows for MiFID II implementation, with templates and examples directly applicable to Macquarie-level complexity.

Frequently asked

Is this course focused on MiFID II only?
Yes, the content is specifically tailored to MiFID II implementation, with patterns applicable to other regulatory regimes.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Will this help with internal audits?
Yes, the course includes templates and documentation practices proven to pass internal audit on first submission.
$199 one-time. Approximately 3 hours per module, designed to be completed alongside regular workload over 4-6 weeks..

Within 24 hours your account in the learning environment is provisioned and the tailored implementation playbook is delivered alongside it.

30-day money-back guarantee· 144 chapters· Hand-built playbook included· Account access within 24 hours
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