A tailored course, built for your situation
Mastering MiFID II for Financial Compliance Practitioners at Global Firms
A structured path to confident, cross-jurisdictional compliance execution
$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 professional at a multinational financial institution responsible for interpreting and operationalizing complex regulatory frameworks across business units and jurisdictions.
Who this is not for
Entry-level analysts, auditors focused solely on checklist validation, or consultants without direct regulatory implementation experience.
What you walk away with
- Produce MiFID II compliance artefacts that reduce rework across legal and trading teams
- Navigate regional variations in implementation with greater confidence
- Strengthen cross-functional credibility by providing clear, actionable interpretations
- Anticipate regulator follow-ups with sourced, structured reasoning
- Build durable playbooks that persist beyond team changes
The 12 modules (with all 144 chapters)
Module 1. Understanding MiFID II's Core Objectives and Scope
Establish a shared foundation of MiFID II’s purpose, key definitions, and applicability across asset classes and entity types within global financial operations.
12 chapters in this module
- Defining MiFID II in the context of global market fairness
- Differentiating MiFID I and MiFID II regulatory scope
- Identifying firms and services subject to the directive
- Mapping financial instruments covered under Title I
- Understanding the role of competent authorities
- Clarifying the distinction between MiFID and AIFMD
- Recognizing exemptions and their operational impact
- Aligning internal definitions with ESMA guidance
- Integrating transaction reporting thresholds into policy
- Assessing pre- and post-trade transparency obligations
- Evaluating the impact on cross-border service provision
- Documenting jurisdictional interpretations for consistency
Module 2. Organizational Requirements and Governance Models
Design governance structures that satisfy MiFID II's compliance obligations while supporting agile decision-making across teams.
12 chapters in this module
- Structuring compliance oversight within flat hierarchies
- Assigning clear accountability for conduct rules
- Developing proportionate policies for firm size and activity
- Formalizing the interaction between compliance and front office
- Integrating product governance into launch workflows
- Ensuring oversight of tied agents and third parties
- Maintaining independence in compliance function reporting
- Balancing regulatory mandates with commercial realities
- Creating escalation pathways for conduct breaches
- Standardizing compliance training across regions
- Linking governance to staff remuneration policies
- Auditing governance effectiveness without duplicating effort
Module 3. Product Governance and Suitability Assessments
Implement robust frameworks for assessing financial product design and distribution across diverse customer types and geographies.
12 chapters in this module
- Defining target market criteria for structured products
- Aligning product design with end-client profiles
- Documenting distribution channel suitability checks
- Reviewing product performance against intended use
- Updating target markets in response to market shifts
- Evaluating complexity thresholds for retail clients
- Assessing appropriateness for professional clients
- Incorporating sustainability disclosures into product files
- Managing conflicts of interest in product design
- Auditing distribution compliance across subsidiaries
- Responding to ESMA product intervention notices
- Preserving governance records for supervisory review
Module 4. Best Execution and Transaction Reporting
Develop systems that ensure best execution across multiple venues and deliver accurate, timely transaction data to regulators.
12 chapters in this module
- Defining best execution in multi-venue trading environments
- Evaluating broker performance across asset classes
- Documenting execution quality metrics for client reporting
- Integrating algo-trading oversight into execution policy
- Structuring transaction reporting data fields correctly
- Validating report accuracy before submission
- Handling post-trade corrections efficiently
- Managing clock synchronization requirements
- Implementing LEI and ISIN validation rules
- Reducing report rejections from national regulators
- Monitoring dark pool usage against disclosure rules
- Optimizing reporting workflows across time zones
Module 5. Transparency and Disclosure Obligations
Meet pre- and post-trade transparency requirements across equities, bonds, and derivatives with consistent, auditable processes.
12 chapters in this module
- Calculating waivers for large in scale transactions
- Applying adequate liquidity tests for deferral
- Publishing pre-trade data for systematic internalisers
- Meeting periodic transaction reporting deadlines
- Disclosing trading venue performance metrics
- Structuring public data feeds for compliance review
- Managing disclosure timing across markets
- Clarifying position limits for commodity derivatives
- Reporting derivatives not cleared through CCPs
- Updating transparency policies after ESMA updates
- Integrating waivers into execution decision records
- Validating public disclosures against regulator templates
Module 6. Conduct of Business Rules for Client Interactions
Apply MiFID II conduct rules consistently across client onboarding, advice, and order execution.
12 chapters in this module
- Classifying clients as retail, professional, or eligible
- Updating client categorization with documented rationale
- Assessing appropriateness for leveraged products
- Maintaining records of client communications
- Disclosing costs and charges in advisory relationships
- Evaluating inducements under the anti-gifting rules
- Reviewing portfolio management mandates for compliance
- Managing conflicts of interest in research payments
- Documenting order handling procedures
- Ensuring front office adherence to communications policy
- Training staff on updated conduct expectations
- Auditing client file completeness across regions
Module 7. Regulatory Reporting Frameworks and Data Quality
Ensure high data integrity and completeness in all MiFID II-mandated reports submitted to national authorities.
12 chapters in this module
- Validating FIRDS data submissions for accuracy
- Mapping internal identifiers to regulatory codes
- Resolving missing or invalid LEI entries
- Ensuring consistency between trade and position reports
- Maintaining referential data across systems
- Automating data reconciliation processes
- Applying timestamp precision requirements
- Testing reporting pipelines before go-live
- Integrating validation tools into pre-submission checks
- Responding to national regulator data queries
- Documenting data governance ownership
- Reducing manual intervention in reporting workflows
Module 8. Interaction with Competent Authorities and ESMA
Navigate audits, inquiries, and reporting obligations with confidence when engaging with regulators.
12 chapters in this module
- Preparing for on-site compliance inspections
- Organizing documentation for supervisory reviews
- Responding to ESMA consultation papers
- Participating in national competent authority forums
- Tracking changes from regulatory technical standards
- Aligning internal practices with ESMA Q&As
- Reporting significant events within mandated windows
- Documenting regulator interactions for traceability
- Updating policies after supervisory feedback
- Coordinating responses across legal entities
- Maintaining regulator contact directories
- Anticipating follow-up questions from review teams
Module 9. Cross-Border Compliance Considerations
Address challenges arising from divergent implementations and oversight across EU and non-EU jurisdictions.
12 chapters in this module
- Managing third-country firm access under equivalence
- Applying passporting rules for branch operations
- Handling reverse inquiries from non-EU regulators
- Evaluating equivalence decisions for client onboarding
- Maintaining compliance with both MiFID II and local rules
- Documenting jurisdictional alignment gaps
- Assessing impact of Brexit on UK-EU reporting flows
- Coordinating cross-border incident reporting
- Managing data transfer compliance under GDPR
- Updating counterparty onboarding checklists
- Aligning time zone policies for reporting deadlines
- Standardizing compliance interpretations globally
Module 10. Compliance Monitoring and Internal Audit
Build effective monitoring programs that detect and prevent MiFID II breaches before external scrutiny.
12 chapters in this module
- Designing risk-based compliance testing plans
- Sampling transaction records for best execution review
- Auditing product governance documentation
- Testing suitability assessment accuracy
- Reviewing execution venue selection logs
- Evaluating recordkeeping completeness
- Assessing staff training effectiveness
- Tracking remediation of internal findings
- Integrating audit results into policy updates
- Measuring control effectiveness over time
- Reporting monitoring outcomes to senior management
- Maintaining independence in internal audit scope
Module 11. Technology and Systemic Compliance Enablers
Leverage technology to automate and enforce MiFID II compliance across operational workflows.
12 chapters in this module
- Integrating compliance checks into trade lifecycle
- Using workflow tools to manage policy updates
- Automating transaction reporting pipelines
- Applying machine learning to monitor conduct risk
- Logging client interactions for audit readiness
- Securing access to compliance-critical systems
- Validating system outputs against regulatory specs
- Implementing change control for compliance systems
- Managing cloud infrastructure compliance
- Monitoring system uptime for reporting obligations
- Ensuring data retention policies meet requirements
- Documenting system architecture for auditors
Module 12. Sustaining MiFID II Compliance Through Change
Ensure compliance resilience amid organizational shifts, new products, and evolving regulatory expectations.
12 chapters in this module
- Updating compliance frameworks during M&A
- Onboarding acquired entities to MiFID II standards
- Introducing new asset classes under existing policies
- Managing compliance during leadership transitions
- Scaling training for expanding teams
- Revising playbooks after regulatory feedback
- Incorporating lessons from enforcement actions
- Benchmarking against peer practices
- Documenting compliance evolution over time
- Preparing for future regulatory revisions
- Sharing best practices across regions
- Archiving legacy interpretations securely
How this maps to your situation
- Post-trade compliance execution
- Cross-jurisdictional regulatory alignment
- Internal governance scalability
- Regulator-facing documentation readiness
Before vs. after
Before
Interpreting MiFID II requirements in isolation, reacting to regional deviations, producing inconsistent guidance.
After
Confidently shaping firm-wide compliance responses, anticipating cross-border implications, and setting the standard others follow.
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 over 12 weeks, or one intensive Sunday session with full access thereafter.
If nothing changes
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How this compares to the alternatives
Unlike generic compliance overviews, this course provides actionable, MiFID II-specific workflows that scale across business units and regions , built specifically for practitioners in global financial institutions.
Frequently asked
Is this course relevant for non-EU based firms?
Yes, especially if you interact with EU markets or clients , MiFID II impacts how non-EU firms structure access, reporting, and disclosures.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Will this help with audit preparation?
Yes , each module includes templates and checklists used by firms to demonstrate compliance during supervisory reviews.
$199 one-time. 90 minutes per week over 12 weeks, or one intensive Sunday session with full access thereafter..
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