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FIN9147 Mastering MiFID II for Financial Services Practitioners at Global Firms

$199.00
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A tailored course, built for your situation

Mastering MiFID II for Financial Services Practitioners at Global Firms

A structured path to authoritative influence on compliance and trade oversight decisions

$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, risk, or legal practitioner in a global financial institution navigating MiFID II implementation and interpretation with limited precedent

Who this is not for

Entry-level analysts, auditors without decision input, or professionals outside financial services regulation

What you walk away with

  • Confidently lead internal decisions on transaction reporting thresholds under Article 25
  • Build audit-ready documentation for execution venue selection per RTS 27
  • Anticipate regulator questions using EBA decision logic patterns
  • Align compliance interpretation across legal entities in multi-jurisdictional operations
  • Establish authoritative input on policy updates before escalation

The 12 modules (with all 144 chapters)

Module 1. Foundations of MiFID II and Its Evolving Scope
Establish a clear baseline of MiFID II’s structure, regulated activities, and recent expansions driven by ESMA and EBA guidance. Understand how RTS and ITS updates reshape interpretation across equities, derivatives, and fixed income desks.
12 chapters in this module
  1. Understanding the original MiFID II framework and objectives
  2. Key differences between MiFID I and MiFID II scope
  3. Role of ESMA in shaping regulatory technical standards
  4. EBA’s interpretation of transaction reporting requirements
  5. How national regulators apply standards differently
  6. Recent amendments under MiFIR and their impact
  7. Overview of delegated acts and their enforcement
  8. Timeline of major revisions and publication dates
  9. Understanding the political drivers behind new rules
  10. Cross-border implications for UK and EU entities
  11. How Brexit reshaped MiFID II applicability
  12. Preparing for future revisions right now and beyond
Module 2. Transaction Reporting Under RTS 22
Dive into the specifics of RTS 22, including reportable fields, timing, and validation rules used by national competent authorities. Learn how to structure clean, audit-ready filings.
12 chapters in this module
  1. List of mandatory fields in transaction reports
  2. Understanding UTI and ULI assignment logic
  3. Timing rules for post-trade reporting
  4. Handling corrections and late submissions
  5. Data quality checks applied by regulators
  6. Mapping internal trade data to reporting schema
  7. Common error patterns and how to avoid them
  8. Automation strategies for data population
  9. Testing protocols for new report types
  10. Handling OTC derivatives reporting
  11. Resolving counterparty reporting mismatches
  12. Documentation required for audit trail
Module 3. Best Execution and RTS 27 Requirements
Examine the obligations around best execution reporting, including how to document venue selection, analyze execution quality, and present data to internal stakeholders.
12 chapters in this module
  1. Definition of best execution under Article 27
  2. Required data points in periodic reports
  3. How often reports must be published
  4. Aggregation rules for multi-asset trading
  5. Handling dark pool and systematic internaliser data
  6. Benchmarking execution quality across venues
  7. Disclosures to clients and regulators
  8. Handling conflicts of interest in venue choice
  9. Internal review processes for accuracy
  10. Tools for automating execution analysis
  11. Responding to regulator follow-ups
  12. Case study: correcting a misreported venue
Module 4. Product Governance and Conduct of Business Rules
Cover MiFID II’s impact on product design, distribution strategies, and client categorization, with emphasis on compliance in cross-border offerings.
12 chapters in this module
  1. Defining target market for financial products
  2. Obligations in product review cycles
  3. Client categorization: retail, professional, eligible
  4. Suitability and appropriateness assessments
  5. Cross-border distribution rules
  6. Role of compliance in product approval
  7. Documentation for product governance files
  8. Handling client complaints related to suitability
  9. Auditor expectations on file completeness
  10. Updating target markets post-launch
  11. Impact of ESG classifications on categorization
  12. Training requirements for sales teams
Module 5. Market Abuse Regulation and Insider Lists
Explore MAR’s integration with MiFID II, focusing on insider list maintenance, suspicious transaction monitoring, and escalation protocols.
12 chapters in this module
  1. Overlap between MAR and MiFID II requirements
  2. Who must be on an insider list
  3. Timing for list updates after material events
  4. Secure storage and access controls
  5. Linking trading activity to insider status
  6. Detecting suspicious order patterns
  7. Internal reporting workflows for red flags
  8. Coordinating with legal and compliance teams
  9. Documentation for regulator requests
  10. Handling delayed disclosure scenarios
  11. Training for issuer-side staff
  12. Audit expectations for list accuracy
Module 6. Compliance Monitoring and Internal Audits
Build frameworks for ongoing compliance checks, including sample selection, deviation tracking, and management reporting.
12 chapters in this module
  1. Designing risk-based monitoring plans
  2. Sampling strategies for trade reports
  3. Tracking exceptions and resolution timelines
  4. Automated alerts for threshold breaches
  5. Rolling audit schedules by asset class
  6. Internal reporting to senior management
  7. Documentation standards for audit trails
  8. Using benchmarks to assess performance
  9. Handling repeat findings
  10. Integrating feedback from external reviewers
  11. Updating policies after audit results
  12. Preparing for supervisory visits
Module 7. Regulatory Reporting Workflows and Tools
Evaluate systems and platforms used for MiFID II reporting, including data integration, validation, and reconciliation.
12 chapters in this module
  1. Common platforms for transaction reporting
  2. Data lineage from trade capture to submission
  3. Validation rules applied before filing
  4. Reconciliation with counterparty submissions
  5. Handling third-party vendor failures
  6. Internal dashboards for reporting status
  7. Role of data governance teams
  8. Change management for reporting updates
  9. Cost structures for reporting solutions
  10. Vendor selection criteria for reporting tools
  11. Integration with existing compliance systems
  12. Disaster recovery and backup plans
Module 8. Cross-Jurisdictional Compliance Challenges
Address complexities arising from operating in multiple regulatory zones, including equivalence assessments and local adaptation.
12 chapters in this module
  1. EU vs UK regulatory divergence post-Brexit
  2. Equivalence determinations for third countries
  3. Local licensing requirements
  4. Substituted compliance strategies
  5. Dual-reporting scenarios for global desks
  6. Handling regulatory conflicts
  7. Internal coordination across regions
  8. Documentation for cross-border decisions
  9. Training global teams on local rules
  10. Managing time zone impacts on reporting
  11. Regulator expectations on consistency
  12. Escalation paths for jurisdictional issues
Module 9. Senior Practitioner Influence in Policy Decisions
Develop methods for shaping internal policy, including stakeholder alignment, precedent citation, and risk-based justification.
12 chapters in this module
  1. Identifying decision points within compliance
  2. Building influence without formal authority
  3. Using regulatory language in internal memos
  4. Citing EBA opinions as precedent
  5. Structuring risk-based arguments
  6. Managing pushback from trading desks
  7. Facilitating cross-functional working groups
  8. Documenting rationale for future audits
  9. Presenting options to senior management
  10. Incorporating legal team feedback
  11. Balancing speed and compliance rigor
  12. Establishing review cycles for policy updates
Module 10. Vendor Selection and Oversight under MiFID II
Navigate due diligence, contract terms, and performance monitoring for third-party providers of trading and reporting services.
12 chapters in this module
  1. Due diligence for execution venues
  2. Assessing vendor compliance posture
  3. Contractual obligations for reporting
  4. Oversight of algorithmic trading systems
  5. Monitoring service level agreements
  6. Evaluating cybersecurity practices
  7. Handling vendor onboarding workflows
  8. Audit rights and access provisions
  9. Managing transition risks
  10. Tracking vendor incident history
  11. Benchmarking vendor performance
  12. Termination and exit planning
Module 11. Hiring and Team Structuring for Compliance Teams
Design hiring criteria, role definitions, and development paths for MiFID II-focused compliance functions.
12 chapters in this module
  1. Key competencies for MiFID II roles
  2. Designing job descriptions for clarity
  3. Assessing candidate experience with ESMA
  4. Onboarding plans for new hires
  5. Cross-training across compliance domains
  6. Career pathing within compliance teams
  7. Evaluating external consultants
  8. Managing workload distribution
  9. Upskilling teams on new guidance
  10. Creating mentorship programs
  11. Balancing headcount and automation
  12. Retention strategies for compliance talent
Module 12. Strategic Direction and Future-Proofing
Anticipate upcoming changes, align compliance with business strategy, and position your team as a value driver.
12 chapters in this module
  1. Tracking ESMA’s regulatory pipeline
  2. Preparing for digital reporting formats
  3. Incorporating AI tools into compliance
  4. Engaging with trade associations
  5. Shaping internal regulatory agendas
  6. Aligning with ESG initiatives
  7. Contributing to policy consultations
  8. Building thought leadership presence
  9. Positioning compliance as strategic
  10. Measuring business impact of compliance
  11. Investing in proactive monitoring
  12. Long-term vision for regulatory excellence

How this maps to your situation

  • Initial compliance setup and understanding
  • Ongoing transaction reporting obligations
  • Client-facing transparency and disclosure
  • Future regulatory readiness and influence

Before vs. after

Before
Reactive interpretation of MiFID II, relying on external counsel and fragmented internal knowledge
After
Proactive ownership of compliance decisions, with structured frameworks and precedent-backed documentation

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 90 minutes per week over 12 weeks, with self-paced access to all materials.

If nothing changes
Without structured mastery, compliance decisions may default to slower, higher-risk paths, reducing influence on strategic trade and reporting choices.

How this compares to the alternatives

Unlike generic compliance overviews or dense regulatory texts, this course delivers specific, actionable decision logic used in real MiFID II implementations at global firms.

Frequently asked

Is this course relevant if I’m not based in the EU?
Yes. MiFID II affects any firm conducting business with EU or UK clients. The course includes strategies for cross-jurisdictional compliance.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Will I receive templates I can use immediately?
Yes. Each module includes downloadable, customizable templates based on real compliance artefacts.
$199 one-time. Approximately 90 minutes per week over 12 weeks, with self-paced access to all materials..

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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