A tailored course, built for your situation
Influence across more business lines with MiFID II compliance
Turn MiFID II mastery into broader impact across trading, reporting, and client services
$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.
Who this is for
Senior compliance practitioner in a global financial institution, embedded in regulatory implementation with cross-functional exposure
Who this is not for
Entry-level analysts, auditors focused only on checklists, or professionals outside financial services regulation
What you walk away with
- Lead MiFID II engagements across trading, reporting, and client onboarding teams
- Become the internal reference for how MiFID II applies across regions and instruments
- Deliver consistent interpretations that reduce rework and confusion
- Shape how compliance integrates with front-office workflows
- Build repeatable documentation that holds up under regulatory review
The 12 modules (with all 144 chapters)
Module 1. MiFID II scope mapping across asset classes
Identify where MiFID II applies across equities, fixed income, derivatives, and structured products. Avoid overreach and undercoverage.
12 chapters in this module
- Defining reportable transactions
- Client classification rules
- Trading venue obligations
- Post-trade transparency thresholds
- Algorithmic trading triggers
- Ancillary activities scope
- Cross-border execution rules
- Currency pair applicability
- Asset-backed securities inclusion
- Fund reporting boundaries
- Prime brokerage thresholds
- Exemption validation checklist
Module 2. Order tracking from initiation to execution
Map order lifecycle compliance across pre-trade, execution, and post-trade stages with clear handoffs.
12 chapters in this module
- Order record retention mandate
- Timestamping precision requirements
- Order routing disclosures
- Client order handling policies
- Post-trade reporting timelines
- Execution quality metrics
- Marketable vs non-marketable
- Order aggregation rules
- Dark pool reporting
- Liquidity provider identification
- Transaction cost analysis inputs
- Dealing desk communication logs
Module 3. Client classification and suitability workflows
Standardize client onboarding with MiFID II-compliant categorization and risk assessment.
12 chapters in this module
- Retail vs professional distinction
- Eligible counterparty criteria
- Client risk profiling methods
- Suitability vs appropriateness
- Product governance alignment
- Periodic classification review
- Documentation for challenging clients
- CRR impact on classification
- Cross-border client handling
- Firm-wide classification policy
- Delegation of investment authority
- Record retention for assessments
Module 4. Transaction reporting completeness
Ensure every reportable transaction includes all 65+ required fields with accuracy and timeliness.
12 chapters in this module
- LEI validation protocols
- UTI generation standards
- CFI code selection guide
- Trading capacity rules
- Settlement date logic
- Price reporting conventions
- Quantity formatting rules
- Commission disclosure
- Post-trade compression events
- Error correction procedures
- Regulatory technical standards
- Near real-time reporting thresholds
Module 5. Best execution reporting across venues
Build transparent, auditable frameworks for demonstrating best execution.
12 chapters in this module
- Venue selection rationale
- Trading protocol documentation
- Cost vs speed tradeoffs
- Client-specific execution policies
- Quarterly execution quality reports
- Venue performance metrics
- Liquidity analysis methods
- Commission vs markup disclosure
- Algorithmic trading logic
- Emergency execution procedures
- Cross-border execution risks
- Custodian reporting alignment
Module 6. Product governance and distribution
Align product design and distribution strategies with MiFID II's governance mandates.
12 chapters in this module
- Target market definition
- Distribution suitability checks
- Product review frequency
- Performance against target market
- Client feedback integration
- Cross-border distribution rules
- Complex product disclosures
- Incentive alignment review
- Product lifecycle tracking
- Key information document updates
- Performance risk warnings
- Governance committee inputs
Module 7. Inducements and commission handling
Structure payments and benefits to meet transparency and conflict standards.
12 chapters in this module
- Permissible inducement types
- In-kind benefit valuation
- Commission disclosure formats
- Third-party payment rules
- Research payment protocols
- Soft dollar restrictions
- Client consent documentation
- Internal allocation rules
- Conflict mitigation strategies
- Audit trail requirements
- Firm-wide policy enforcement
- Training for relationship managers
Module 8. Compliance testing and monitoring
Design ongoing testing programs that verify MiFID II adherence across functions.
12 chapters in this module
- Testing frequency standards
- Sample selection methodology
- Transaction monitoring scope
- Exception handling procedures
- Remediation tracking
- Internal audit alignment
- Regulator inspection prep
- Risk-based testing focus
- Control dashboard design
- Escalation protocols
- Tone at the middle review
- Peer benchmarking inputs
Module 9. Cross-border reporting coordination
Harmonize MiFID II reporting across jurisdictions with differing interpretations.
12 chapters in this module
- National competent authority rules
- Local interpretation databases
- Cross-border trade allocation
- Subsidiary reporting roles
- Group-wide compliance oversight
- Local regulator engagement
- Translation of reporting fields
- Time zone coordination
- Data residency considerations
- Local legal counsel integration
- Conflict resolution process
- Regulatory change tracking
Module 10. Technology integration for reporting
Align trade capture, order management, and reporting systems with MiFID II data requirements.
12 chapters in this module
- System of record designation
- Data lineage mapping
- Field-level data ownership
- API integration standards
- Error handling automation
- Reconciliation protocols
- Data validation rules
- Exception monitoring
- Vendor reporting oversight
- Change management for updates
- System downtime procedures
- Audit log retention
Module 11. Training content for front-office teams
Develop role-specific training that embeds MiFID II into daily workflows.
12 chapters in this module
- Trading desk playbooks
- Client onboarding scripts
- Reporting team checklists
- Compliance escalation paths
- New hire onboarding modules
- Quarterly refresh content
- Scenario-based learning
- Assessment design
- Role-based access rules
- Training completion tracking
- Feedback loop integration
- Regulatory update summaries
Module 12. Regulator engagement readiness
Prepare for inspections with clear, consistent, and complete responses.
12 chapters in this module
- Common inspection topics
- Document retrieval process
- Interview preparation scripts
- Deficiency response framework
- Root cause analysis methods
- Corrective action planning
- Regulator communication logs
- Internal reporting standards
- Lessons learned sharing
- External counsel coordination
- Voluntary disclosure process
- Post-inspection follow-up
How this maps to your situation
- When onboarding a new client in London
- Before rolling out a new trading desk
- After a regulatory change in ESMA guidance
- During planning for a systems upgrade
Before vs. after
Before
MiFID II compliance is handled in silos, with inconsistent interpretations across teams and regions.
After
A unified, repeatable approach to MiFID II implementation that scales across business lines and earns trust from regulators and internal stakeholders.
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: 90 minutes per week for 12 weeks, or self-paced with full access upon enrollment.
How this compares to the alternatives
Unlike generic compliance courses, this program focuses only on MiFID II implementation in global financial institutions, with field-tested templates and decision frameworks used by senior practitioners at tier-one banks.
Frequently asked
Is this course specific to the firm’s operating model?
No. It’s designed for compliance practitioners in global financial institutions, with adaptable frameworks that respect firm-specific policies.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Can I access the templates without taking the full course?
Templates are included only with full course access, ensuring they’re used with proper context and application guidance.
$199 one-time. 90 minutes per week for 12 weeks, or self-paced with full access upon enrollment..
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