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CMP9784 Mastering MiFID II for Senior Compliance Practitioners in Global Financial Services

$199.00
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A tailored course, built for your situation

Mastering MiFID II for Senior Compliance Practitioners in Global Financial Services

A structured path to confident, regulator-ready implementation and sustained compliance oversight

$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.
Overwhelmed by fragmented MiFID II inputs and unclear ownership paths

The situation this course is for

Compliance professionals are spending 40% more time reconciling inputs from legal, trading desks, and audit teams due to inconsistent MiFID II interpretation. The burden falls on ICs to unify it, often without clear mandate or playbooks. This course eliminates the guesswork.

Who this is for

Senior IC in compliance, risk, or governance at a global financial institution, managing regulator-facing deliverables and cross-functional handoffs

Who this is not for

Entry-level analysts, consultants selling compliance services, or leaders looking for board-level summaries

What you walk away with

  • Own MiFID II transaction reporting packages sent directly from senior legal to regulators
  • Receive audit findings memos pre-routed for your input before peer review
  • Lead cross-functional playbooks for RTS 28 and RTS 29 updates without escalation delays
  • Build a documented chain of custody for transaction data flows trusted by internal and external reviewers
  • Become the default recipient for EBA consultation responses originating from senior compliance sponsors

The 12 modules (with all 144 chapters)

Module 1. Understanding MiFID II Core Objectives and Regulatory Intent
Ground your work in the actual purpose of MiFID II , not checkbox compliance. This module clarifies the regulation’s goals around transparency, investor protection, and market integrity so you can interpret requirements with confidence, not just implement them.
12 chapters in this module
  1. Why MiFID II was introduced and what it aims to fix
  2. Key differences between MiFID I and MiFID II scope
  3. How ESMA and national regulators enforce compliance
  4. Understanding the role of national competent authorities
  5. Core obligations for investment firms under Article 4
  6. The relationship between MiFID II and AIFMD
  7. How RTS and ITS specifications shape firm-level obligations
  8. Transaction reporting requirements under Article 26
  9. Best execution obligations and transparency rules
  10. Product governance and suitability requirements
  11. The role of inducements and cost disclosure
  12. Ongoing regulatory shifts post-implementation review
Module 2. Mapping MiFID II Requirements to Operational Workflows
Turn regulation into action. This module shows how to trace MiFID II clauses to real systems, teams, and decisions , so you can own the bridge between policy and execution without being bogged down in abstraction.
12 chapters in this module
  1. From regulation text to internal control design
  2. Identifying ownership nodes across front and middle office
  3. Linking transaction reporting fields to source systems
  4. How trade capture systems map to RTS 26 templates
  5. Validating best execution data from execution venues
  6. Building audit trails for order routing decisions
  7. Documenting product governance committees and outputs
  8. Mapping suitability checks to client onboarding flows
  9. Tracking inducement disclosures across channels
  10. Integrating cost and charge reporting into statements
  11. Aligning trade surveillance rules with MiFIR data
  12. Creating cross-functional handoff checklists
Module 3. Transaction Reporting Under RTS 26 and Regulatory Expectations
Master the most scrutinized part of MiFID II. This module walks through every field in the transaction report, what regulators actually review, and how to avoid common pitfalls that trigger follow-ups.
12 chapters in this module
  1. Overview of RTS 26 reporting fields and logic
  2. Understanding UCITS and non-UCITS instrument classification
  3. Client identification standards and LEI usage
  4. Correctly reporting algorithmic trading indicators
  5. Time stamp accuracy and clock sync requirements
  6. Handling partial fills and corrections
  7. Reporting OTC derivatives and emission allowances
  8. Position aggregation and delta calculations
  9. Validating report completeness pre-submission
  10. Responding to regulator data queries
  11. Common errors found in ESMA peer reviews
  12. Internal testing routines for transaction reports
Module 4. Best Execution Reporting and Transparency Under RTS 27
Go beyond publishing reports , understand what regulators look for in execution quality analysis and how to structure disclosures that hold up to review.
12 chapters in this module
  1. Scope of firms required to publish best execution reports
  2. Data collection from execution venues and brokers
  3. Measuring execution quality: price, cost, speed, likelihood
  4. Aggregating execution data across venues
  5. Disclosing top execution venues by volume
  6. Frequency and format of public disclosures
  7. Handling confidential data in public reports
  8. Updating reports after venue changes
  9. Responding to client-specific execution requests
  10. Auditor review points for RTS 27 compliance
  11. Linking execution reports to transaction reporting
  12. Benchmarking against peer firm disclosures
Module 5. Product Governance and Suitability Obligations
Ensure products are designed and distributed appropriately. This module covers how to document governance workflows and prove suitability in practice, not just policy.
12 chapters in this module
  1. Defining target market for financial products
  2. Documenting product review committee decisions
  3. Capturing distribution restrictions by jurisdiction
  4. Client categorization: professional, retail, eligible counterparty
  5. Assessing appropriateness for non-advised sales
  6. Suitability assessments for advised clients
  7. Recording client knowledge and experience
  8. Handling complex products and derivatives
  9. Monitoring distribution against target market
  10. Updating target market after product changes
  11. Linking governance to complaints and remediation
  12. Auditor expectations for governance files
Module 6. Cost and Charge Disclosure Under RTS 24
Deliver clear, accurate, and comparable cost disclosures to clients. This module breaks down the math and messaging so you can own the narrative regulators scrutinize.
12 chapters in this module
  1. Scope of products requiring cost disclosures
  2. Identifying embedded costs and third-party charges
  3. Calculating total cost ratio (TCR) and cost examples
  4. Presenting costs in pre-contractual and periodic statements
  5. Handling currency conversion and fee timing
  6. Disclosing costs for advisory versus execution-only
  7. Updating cost models after fee changes
  8. Validating disclosures across client segments
  9. Auditor focus areas in cost reporting
  10. Linking cost data to transaction reporting
  11. Responding to client questions on charges
  12. Benchmarking against industry templates
Module 7. Inducements and Conflicts of Interest Management
Navigate the tightest part of MiFID II. This module shows how to document inducement policies and prove they’re enforced , so you’re ready when reviewers dig in.
12 chapters in this module
  1. Defining material and non-material inducements
  2. Policies for accepting third-party payments
  3. Staff incentive plan design and disclosure
  4. Managing soft commission arrangements
  5. Documenting conflict of interest registers
  6. Implementing information barriers and firewalls
  7. Escalation paths for potential breaches
  8. Review cycles for inducement compliance
  9. Linking inducement logs to audit trails
  10. Regulator focus areas in inducement reviews
  11. Client disclosure requirements
  12. Training staff on inducement boundaries
Module 8. Trade Surveillance and Market Abuse Detection
Understand how MiFID II tightens market conduct rules. This module connects MAR requirements to surveillance design, so you can own the logic behind alerts.
12 chapters in this module
  1. Overview of Market Abuse Regulation (MAR) scope
  2. Insider list maintenance and access controls
  3. Detecting suspicious order patterns
  4. Surveillance rules for layering and spoofing
  5. Monitoring for market manipulation indicators
  6. Linking trading activity to news events
  7. Handling false positives and alert fatigue
  8. Documenting investigation processes
  9. Escalating potential breaches to compliance
  10. Regulator expectations for surveillance logs
  11. Testing surveillance rule effectiveness
  12. Integrating external data feeds
Module 9. Internal Reporting and Audit Trail Design
Build defensible records. This module covers how to structure logs, reports, and documentation so they withstand regulator scrutiny , and become an asset, not a liability.
12 chapters in this module
  1. Defining minimum retention periods for records
  2. Securing audit trail access and permissions
  3. Time-stamping standards and clock sync
  4. Logging system changes and access events
  5. Documenting control exceptions and overrides
  6. Versioning for policies and procedures
  7. Storing records in immutable format
  8. Preparing for regulator data requests
  9. Automating record production workflows
  10. Testing retrieval speed and completeness
  11. Integrating logs with transaction reporting
  12. Auditor expectations for digital archives
Module 10. Cross-Functional Coordination Under MiFID II
Lead without authority. This module shows how to run effective handoffs with legal, tech, trading, and audit teams , so you own the process, not just your slice.
12 chapters in this module
  1. Mapping dependencies across compliance domains
  2. Running effective triage meetings for escalations
  3. Creating shared playbooks for incident response
  4. Documenting escalation paths and decision trees
  5. Managing version control for multi-team outputs
  6. Using shared tools without over-relying on them
  7. Setting expectations for input deadlines
  8. Handling conflicting priorities across teams
  9. Resolving interpretation differences
  10. Building credibility through consistency
  11. Measuring handoff efficiency
  12. Reducing rework through clarity
Module 11. Responding to Regulator Inquiries and Audits
Turn reviews into wins. This module prepares you to respond to questions quickly, confidently, and completely , so your work reflects positively on your team and firm.
12 chapters in this module
  1. Understanding regulator inquiry types
  2. Triage process for incoming requests
  3. Assigning roles for response drafting
  4. Validating data sources and logic
  5. Documenting response rationale
  6. Internal review cycles before submission
  7. Handling follow-up questions
  8. Preparing for on-site inspections
  9. Building a regulator interaction log
  10. Benchmarking response times
  11. Using past responses to improve future ones
  12. Training new team members on inquiry workflows
Module 12. Sustaining MiFID II Compliance Over Time
Make compliance durable. This module covers how to institutionalize processes so they survive staff changes, system upgrades, and regulatory shifts.
12 chapters in this module
  1. Designing compliance handover processes
  2. Documenting institutional knowledge
  3. Creating living playbooks and runbooks
  4. Scheduling regular control reviews
  5. Updating workflows after regulatory changes
  6. Onboarding new team members effectively
  7. Measuring compliance maturity over time
  8. Using metrics to show improvement
  9. Aligning with internal audit plans
  10. Feeding lessons into firm-wide risk reports
  11. Maintaining regulator communication channels
  12. Planning for post-implementation reviews

How this maps to your situation

  • Transaction reporting under RTS 26
  • Best execution disclosures under RTS 27
  • Product governance and distribution
  • Cost and charge transparency

Before vs. after

Before
Receiving MiFID II tasks without clear ownership or process, relying on tribal knowledge and last-minute inputs
After
Owning end-to-end deliverables with documented workflows, trusted by senior sponsors and ready for regulators

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: 90 minutes per week over 12 weeks, designed for practitioners balancing day-to-day responsibilities.

If nothing changes
Without structured ownership, MiFID II work remains reactive , exposing you to delays, rework, and missed visibility from leadership. Clear processes turn compliance from burden to leverage.

How this compares to the alternatives

Unlike generic compliance training or vendor-led workshops, this course is built for senior ICs who need to own outcomes, not just understand theory. It skips the basics and focuses on execution clarity, real documentation, and cross-functional ownership.

Frequently asked

How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Who is this course for?
Senior individual contributors in compliance, risk, or governance at global financial institutions managing MiFID II deliverables.
Is this course up to date with recent regulatory changes?
Yes. Content reflects the latest ESMA guidance and national enforcement patterns as of this quarter.
$199 one-time. 90 minutes per week over 12 weeks, designed for practitioners balancing day-to-day responsibilities..

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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