A tailored course, built for your situation
Mastering MiFID II for Capital Markets Compliance Practitioners
Elevate your influence with structured, board-visible outcomes in complex regulatory environments
$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 work that meets standards but stays unseen by leadership
The situation this course is for
High-effort regulatory deliverables are often buried in process, never reaching the stakeholders who shape strategic direction. Practitioners remain in the background, even when their insights are foundational.
Who this is for
Senior compliance professionals in global financial institutions who own MiFID II implementation and reporting, operate at the intersection of regulation and execution, and seek greater recognition for their strategic impact.
Who this is not for
Entry-level analysts, consultants selling compliance services, or vendors building RegTech tools.
What you walk away with
- Produce MiFID II documentation that surfaces in executive reviews without escalation
- Structure audit-ready artefacts that compound across reporting cycles
- Map compliance controls directly to business-line decision points
- Build defensible narratives for transaction reporting and best execution
- Anticipate senior stakeholder questions with pre-built evidence frameworks
The 12 modules (with all 144 chapters)
Module 1. Foundations of MiFID II in Practice
Establish a working baseline of MiFID II obligations as applied in global capital markets, with emphasis on conduct reporting, transaction transparency, and execution quality.
12 chapters in this module
- Scope of MiFID II applicability
- Key differences from MiFIR
- Article 65 transaction reporting
- Best execution obligations under RTS 27
- Product governance under Article 25
- Ancillary activities classification
- Organizational requirements for trading venues
- Client categorization framework
- Inducements and commission disclosures
- Research unbundling norms
- Post-trade transparency thresholds
- Exemptions and waivers in practice
Module 2. Control Mapping for Audit Readiness
Translate MiFID II articles into specific, testable controls that stand up to internal and external scrutiny.
12 chapters in this module
- Linking Article 17 to trade reporting logs
- Mapping trade gatekeeping to pre-trade checks
- Surveillance rule calibration
- Blotter reconciliation routines
- Exception handling protocols
- Data lineage for SM&CR reporting
- Threshold recalibration schedules
- Algorithmic trading disclosure
- Execution venue performance dashboards
- Order routing logic documentation
- Client classification audit trails
- Periodic review automation
Module 3. Transaction Reporting Architecture
Design resilient, error-resistant reporting pipelines that meet EMIR and MiFID II convergence standards.
12 chapters in this module
- UTP and UTI assignment logic
- LEI validation workflows
- Timestamp synchronization
- Reporting to ACER via Registered Reporting Mechanisms
- Error correction timelines
- Double reporting avoidance
- Delta file management
- Entity reference data governance
- Report status monitoring
- Trade lifecycle event tagging
- Cross-border trade classification
- Position limits and APAs
Module 4. Best Execution Frameworks
Build and defend transparent, data-driven execution quality assessments.
12 chapters in this module
- RTS 27 data collection
- Venue performance benchmarks
- Slippage analysis methodology
- Order routing logic documentation
- Client-specific execution profiles
- Cost vs. speed trade-offs
- Non-displayed venue impact
- Dark pool usage reporting
- Liquidity provider comparisons
- Monthly aggregation templates
- RTS 28 disclosures
- Execution improvement initiatives
Module 5. Product Governance and Distribution
Implement Article 25 requirements across product design and client onboarding.
12 chapters in this module
- Target market determination
- Distribution channel alignment
- Suitability rule integration
- Product approval checklists
- Periodic review triggers
- Client feedback loops
- Geographic restrictions
- Risk rating frameworks
- Innovation pipeline gating
- Product exit protocols
- Cross-border distribution rules
- Conflict of interest disclosures
Module 6. Research Unbundling Implementation
Operationalize MiFID II research payment separation without disrupting analyst access.
12 chapters in this module
- Hard vs. soft dollar distinctions
- Research payment tracking
- CAPM allocation models
- Budget setting processes
- Approved vendor lists
- Usage monitoring systems
- Third-party billing integration
- Internal equity research handling
- External provider evaluation
- Audit trail requirements
- Cost recovery mechanisms
- Compliance exception logging
Module 7. Trade Surveillance Design
Develop targeted monitoring rules that detect market abuse without generating noise.
12 chapters in this module
- Market manipulation patterns
- Front-running detection logic
- Wash trade identification
- Latency arbitrage flags
- Spoofing and layering rules
- Position concentration monitoring
- Abnormal order flow alerts
- Cross-product correlation
- Insider trading precursors
- Alert triage workflows
- False positive reduction
- Incident escalation paths
Module 8. SM&CR Accountability Mapping
Align individual responsibilities with regulatory accountability frameworks.
12 chapters in this module
- Senior Manager regime mapping
- Statement of Responsibilities drafting
- Conduct Rules application
- Training completion tracking
- Fitness and propriety assessments
- Handover documentation
- Performance review integration
- Breach reporting obligations
- Client harm risk indicators
- Escalation chain definition
- Remuneration governance
- Certification process automation
Module 9. Cross-Border Compliance Coordination
Manage MiFID II application across multiple jurisdictions with conflicting interpretations.
12 chapters in this module
- Third-country equivalence assessments
- Branch vs. passporting decisions
- Local regulator expectations
- Translation of EBA guidelines
- Subsidiary control frameworks
- Group-wide policy alignment
- Incident reporting hierarchies
- Audit coordination models
- Legal entity rationalization
- Time zone-aware monitoring
- Crisis response planning
- Regulatory change ingestion
Module 10. Regulatory Change Management
Build a proactive system for identifying, assessing, and implementing MiFID II updates.
12 chapters in this module
- EBA public consultations
- National Competent Authority updates
- DORA cross-reference tracking
- Internal stakeholder mapping
- Impact assessment templates
- Change control workflows
- Implementation timelines
- Training material versioning
- Exception request processes
- Audit preparation cycles
- Lessons learned documentation
- Continuous improvement triggers
Module 11. Audit and Examination Readiness
Structure documentation and workflows to pass internal and external audits on first review.
12 chapters in this module
- Document retention policies
- Version-controlled policy libraries
- Evidence trail construction
- Interview preparation materials
- Common deficiency patterns
- Walkthrough rehearsal
- Regulator Q&A prep
- Gap remediation tracking
- Observation closure proof
- Peer benchmarking references
- Process deviation logs
- Lessons from past exams
Module 12. Strategic Influence Through Compliance
Position compliance work as a source of firm-wide insight and operational advantage.
12 chapters in this module
- Executive summary drafting
- Board-level narrative framing
- Risk appetite linkage
- Business-line partnership models
- Value-add demonstration
- Benchmarking leadership
- Cross-functional initiative participation
- Policy-to-practice translation
- Crisis response integration
- Innovation enablement
- Thought leadership contributions
- Post-mortem influence
How this maps to your situation
- When onboarding new trading desks
- During regulatory examination cycles
- After implementation of new trade surveillance tools
- When responding to changes in national regulator guidance
Before vs. after
Before
Compliance efforts are thorough but operate below the line, rarely acknowledged in leadership discussions.
After
MiFID II work becomes a source of strategic insight, regularly cited in cross-functional reviews and executive decision-making.
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 responsibilities over 6-8 weeks.
If nothing changes
Continuing to deliver high-quality compliance work without strategic visibility may limit career trajectory and reduce influence during critical firm-level decisions.
How this compares to the alternatives
Generic MiFID II training focuses on theory and exam preparation. This course delivers practitioner-grade frameworks used by top-tier institutions to turn compliance into strategic advantage, specifically designed for professionals already operating at scale.
Frequently asked
Is this course suitable for someone already experienced with MiFID II?
Yes. This course is designed for experienced practitioners who want to elevate the visibility and strategic impact of their existing work, not learn the basics.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Will I receive certificates upon completion?
This course does not issue formal certifications. It delivers practical frameworks and templates to apply directly in your role.
$199 one-time. Approximately 3 hours per module, designed to be completed alongside regular responsibilities over 6-8 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