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Influence Across Business Units with MiFID II Expertise

$199.00
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A tailored course, built for your situation

Influence Across Business Units with MiFID II Expertise

Expand your impact across divisions by mastering the execution and alignment of MiFID II requirements

$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 stuck in silos

The situation this course is for

MiFID II interpretation varies across regions, causing rework and delays when new mandates hit. Teams lack a unified reference, leading to inconsistent implementation and executive scrutiny.

Who this is for

Senior compliance or governance practitioner in a global financial institution, responsible for translating regulatory requirements into operating models across jurisdictions

Who this is not for

Entry-level analysts, auditors focused on checklists, or consultants seeking generic frameworks

What you walk away with

  • Lead consistent MiFID II implementation across EMEA, APAC, and North America teams
  • Serve as the internal authority when regional leads interpret transaction reporting rules
  • Reduce cross-team alignment time by using precedent-backed implementation guides
  • Own the escalation path for MiFID II exceptions before they reach senior review
  • Deliver audit-ready documentation that reflects unified decision logic

The 12 modules (with all 144 chapters)

Module 1. Mapping MiFID II Articles to Operating Units
Translate MiFID II requirements into unit-specific control obligations across trading desks, product teams, and compliance functions.
12 chapters in this module
  1. Article 17 transaction reporting scope
  2. Execution venue classification
  3. Best execution policy updates
  4. Pre-trade transparency rules
  5. Post-trade reporting timelines
  6. Client categorization workflows
  7. Algorithmic trading notifications
  8. Inducements disclosure requirements
  9. Research payment unbundling
  10. Product governance alignment
  11. Compliance monitoring cycles
  12. Audit trail retention rules
Module 2. Cross-Regional Interpretation Frameworks
Apply a standardized lens to reconcile MiFID II interpretations across APAC, EMEA, and North America.
12 chapters in this module
  1. Divergence in execution venue rules
  2. Local market exceptions database
  3. Time-zone-aware reporting windows
  4. Language-specific disclosures
  5. Currency treatment in transaction costs
  6. APAC local regulator expectations
  7. EMEA ESMA Q&A application
  8. North America SEC alignment
  9. Multi-jurisdictional trade reporting
  10. Local tax treatment implications
  11. Currency conversion timing
  12. Regulatory filing calendar sync
Module 3. Unit-Specific Control Design
Design MiFID II controls that fit the operating model of trading, research, and client onboarding teams.
12 chapters in this module
  1. Trading desk pre-trade checks
  2. Research team cost allocation
  3. Client onboarding categorization
  4. Inducement acceptance workflows
  5. Commission sharing agreements
  6. Transaction cost disclosure
  7. Best execution comparison tools
  8. Client reporting templates
  9. Order routing transparency
  10. Product governance documentation
  11. Suitability check enhancements
  12. Post-trade affirmation timing
Module 4. Precedent-Based Decision Playbook
Build a living library of MiFID II decisions used to resolve recurring cross-unit conflicts.
12 chapters in this module
  1. Past transaction reporting edge cases
  2. Execution venue classification precedents
  3. Client type reclassification examples
  4. Inducement handling decisions
  5. Cost allocation benchmarks
  6. Research payment approvals
  7. Product governance waivers
  8. Best execution deviations
  9. Regulatory change responses
  10. Audit finding resolutions
  11. Internal escalation patterns
  12. Cross-functional alignment logs
Module 5. Cross-Functional Alignment Protocols
Standardize how compliance, legal, and business units coordinate on MiFID II updates.
12 chapters in this module
  1. Change request intake process
  2. Legal review escalation path
  3. Business unit feedback loop
  4. Compliance sign-off criteria
  5. Implementation timeline sync
  6. Training material distribution
  7. Exception tracking system
  8. Stakeholder communication plan
  9. Deadlock resolution process
  10. Document version control
  11. Conflict logging framework
  12. Post-implementation review cadence
Module 6. Audit-Ready Documentation System
Create living artefacts that stand up to internal and external scrutiny across jurisdictions.
12 chapters in this module
  1. Control mapping by article
  2. Implementation evidence packs
  3. Regional variation logs
  4. Decision rationale templates
  5. Trade report validation checks
  6. Client communication samples
  7. Internal review sign-offs
  8. External auditor Q&A prep
  9. Regulator meeting summaries
  10. Cross-border data flow notes
  11. System configuration snapshots
  12. Policy exception tracking
Module 7. Transaction Reporting Governance
Ensure accurate, timely, and consistent MiFID II transaction reporting across asset classes.
12 chapters in this module
  1. Reportable instrument classification
  2. Trade timestamp standards
  3. Venue identification codes
  4. Customer account mapping
  5. Delta report generation
  6. Error correction workflows
  7. Trade compression handling
  8. Post-trade event sequencing
  9. Report reconciliation cycles
  10. Regulator-specific formatting
  11. Data enrichment steps
  12. Validation rule library
Module 8. Best Execution Framework Design
Design and document a defensible best execution policy across trading venues and regions.
12 chapters in this module
  1. Venue selection criteria
  2. Liquidity assessment methods
  3. Cost-of-execution metrics
  4. Order routing logic
  5. Client impact disclosures
  6. Algorithmic trading oversight
  7. Dark pool usage rules
  8. Post-trade analysis reports
  9. Execution venue reviews
  10. Benchmark selection
  11. Trading desk feedback
  12. Policy review triggers
Module 9. Inducements and Research Compliance
Manage inducements and research payments in line with MiFID II unbundling rules.
12 chapters in this module
  1. Permissible inducement list
  2. Research payment approval
  3. Budget allocation tracking
  4. Client consent documentation
  5. Research value assessment
  6. Payment timing rules
  7. Gift and hospitality logs
  8. Internal audit trail
  9. Third-party provider checks
  10. Research use certification
  11. Cost attribution methodology
  12. Annual review process
Module 10. Product Governance and Suitability
Implement MiFID II product governance rules and client suitability assessments.
12 chapters in this module
  1. Target market definition
  2. Product approval checklist
  3. Distribution channel alignment
  4. Client categorization rules
  5. Suitability question design
  6. Risk tolerance validation
  7. Product performance monitoring
  8. Distribution restrictions
  9. Periodic review triggers
  10. Client feedback collection
  11. Complaint trend analysis
  12. Remediation planning
Module 11. Regulatory Change Implementation
Lead the integration of new MiFID II guidance into operating models across business units.
12 chapters in this module
  1. ESMA guidance tracking
  2. Internal impact assessment
  3. Stakeholder alignment
  4. Control gap analysis
  5. Implementation roadmap
  6. Training plan development
  7. System configuration updates
  8. Testing and validation
  9. Rollout sequencing
  10. Post-implementation review
  11. Audit trail updates
  12. Lessons learned capture
Module 12. Sustained Cross-Unit Influence
Become the go-to practitioner when new MiFID II mandates require enterprise-wide coordination.
12 chapters in this module
  1. Leading without authority
  2. Building trust across regions
  3. Creating reusable templates
  4. Documenting decisions publicly
  5. Reducing repeat questions
  6. Scaling through enablement
  7. Influencing policy design
  8. Owning escalation path
  9. Tracking influence metrics
  10. Maintaining precedent library
  11. Updating implementation playbooks
  12. Mentoring junior practitioners

How this maps to your situation

  • When new MiFID II guidance drops
  • During cross-regional rollout
  • Before audit season
  • When product teams launch new instruments

Before vs. after

Before
MiFID II interpretation varies across teams, requiring repeated alignment and slowing execution.
After
You lead consistent implementation across units, becoming the reference point for regional leads and reducing rework.

What's included with your purchase

  • 12 modules with 12 chapters each (144 chapters total)
  • 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 for completion over 4-6 weeks with real-world application.

If nothing changes
Without a unified approach, MiFID II implementation will continue to require repeated negotiation across teams, increasing operational risk and diluting your influence.

How this compares to the alternatives

Unlike generic MiFID II training, this course focuses on execution playbooks, precedent-based decision frameworks, and cross-unit influence tactics used by top practitioners in global financial institutions.

Frequently asked

Who is this course for?
Senior compliance, governance, and risk practitioners in global financial institutions responsible for MiFID II implementation across regions and business units.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
What makes this different from other MiFID II training?
It focuses on execution playbooks, precedent-based decisions, and influence frameworks used by leading practitioners, not just regulatory text.
$199 one-time. Approximately 3 hours per module, designed for completion over 4-6 weeks with real-world application..

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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