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CMP8487 Mastering MiFID II for Wealth Management Compliance Leaders

$199.00
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A tailored course, built for your situation

Mastering MiFID II for Wealth Management Compliance Leaders

A structured path to confident, source-backed decision-making 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.
Keeping up with MiFID II isn’t the challenge, it’s being questioned on your interpretation and not having the exact reference ready

Who this is for

Senior compliance or governance practitioner at a global wealth manager, responsible for implementing and defending MiFID II requirements across trading, reporting, and client communication workflows

Who this is not for

Entry-level analysts, consultants selling vendor tools, or teams focused solely on marketing-side disclosures without operational enforcement

What you walk away with

  • Articulate the intent behind MiFID II provisions using exact ESMA guidance and regulatory technical standards
  • Reference specific articles and regulatory responses when challenged on trade reporting scope
  • Build audit-ready documentation that anticipates reviewer follow-ups
  • Differentiate your firm’s interpretation from peer institutions using public regulatory correspondence
  • Defend control design choices with sourced reasoning, not just internal consensus

The 12 modules (with all 144 chapters)

Module 1. Understanding MiFID II’s Core Objectives in Wealth Management
Ground your implementation in the original legislative intent and how it applies specifically to fiduciary trading desks and high-net-worth portfolios.
12 chapters in this module
  1. Tracing MiFID II’s origins in post-crisis financial reform
  2. Key differences between MiFID I and MiFID II in client classification
  3. The role of best execution in discretionary mandates
  4. How RTS 27 changed transparency expectations for asset managers
  5. ESMA’s definition of 'systematic internaliser' and its impact
  6. Why trade reporting thresholds matter for non-equity instruments
  7. Mapping client types to appropriate execution policies
  8. The interaction between MiFIR and MiFID II data sharing
  9. How national regulators interpret Article 24 differently
  10. Building a baseline understanding of product governance rules
  11. The impact of inducements restrictions on research payments
  12. Common misconceptions about portfolio management exemptions
Module 2. Article-by-Article Breakdown: Articles 16, 67
Walk through the most frequently cited provisions with annotated explanations and enforcement precedents.
12 chapters in this module
  1. Article 16: Applicability to cross-border advisory services
  2. Article 19 on the obligation to act in client’s best interest
  3. Article 21 and product governance responsibilities
  4. Applying Article 27 to algorithmic trading infrastructure
  5. Article 30 on fair, clear and not misleading communications
  6. Article 39 requirements for transaction reporting
  7. Article 41 and pre-trade transparency thresholds
  8. Article 43 exceptions for large in scale trades
  9. Article 48 on post-trade publication delays
  10. Article 53 and recordkeeping duration rules
  11. Article 65 on compliance function independence
  12. Article 67 on transaction cost disclosure methods
Module 3. RTS 27 and RTS 28 Deep Dive
Decode the regulatory technical standards that drive actual implementation decisions and peer comparisons.
12 chapters in this module
  1. RTS 27’s structure and required data points
  2. How to calculate aggregated transaction costs under RTS 27
  3. RTS 27 reporting for bundled research and soft dollars
  4. RTS 28’s scope: when must you report third-party payments
  5. Classifying research payments under RTS 28 Article 3
  6. Handling in-kind inducements in portfolio management
  7. Public disclosure formats for RTS 27 reports
  8. How ESMA evaluates consistency across firms
  9. Common gaps in RTS 28 data collection pipelines
  10. RTS 28 reporting for non-EU based managers
  11. Frequency requirements under RTS 27 Article 4
  12. How regulators use RTS data in supervision
Module 4. Best Execution Framework Design and Justification
Build a defensible, documented approach to best execution that withstands internal and regulator scrutiny.
12 chapters in this module
  1. Defining best execution in a multi-venue environment
  2. How to assess liquidity across systematic internalisers
  3. Documenting venue selection rationale for FX trades
  4. Benchmarking execution quality against peer firms
  5. Using anonymous order flow data in decision logs
  6. Recording exceptions to standard routing rules
  7. Client-specific execution policies for high-touch accounts
  8. Incorporating ESG factors into execution decisions
  9. How to handle dark pool usage under MiFID II
  10. Timing requirements for execution reports to clients
  11. Rebalancing frequency and its impact on costs
  12. Reviewing execution quality quarterly with compliance
Module 5. Transaction Reporting: Categorization and Validation
Ensure accuracy in reporting logic by understanding classification rules used by national regulators.
12 chapters in this module
  1. Classifying derivatives under EMIR vs. MiFID II
  2. Instrument identification using ISIN and UTI codes
  3. When a trade is reportable under Article 26
  4. Handling corrections and late submissions
  5. Data fields required under Table 1 of RTS 26
  6. Using LEI codes for counterparty identification
  7. Validating report completeness before submission
  8. Common errors in timestamp formatting
  9. Dealing with cross-jurisdictional trade reporting
  10. Reconciling internal trade logs with regulator data
  11. Audit trails for manual overrides in reporting
  12. How regulators use transaction data for market abuse detection
Module 6. Product Governance and Suitability Assessments
Implement rules that align product design with target market definitions and distribution channels.
12 chapters in this module
  1. Defining target market for structured notes
  2. When suitability applies vs. appropriateness
  3. Documenting product reviews under Article 25
  4. Handling distribution restrictions across geographies
  5. Client categorization under MiFID II Annex I
  6. Assessing experience for professional clients
  7. Reviewing leverage limits in CFD offerings
  8. Product intervention notices from ESMA
  9. Updating target markets after material changes
  10. Recordkeeping for suitability decisions
  11. Handling complex SPVs in distribution chains
  12. Suitability waivers for elective professional clients
Module 7. Inducements and Conflicts Management
Navigate payment restrictions and disclosure requirements with documented precedent.
12 chapters in this module
  1. Defining inducements under Article 8
  2. Handling research payments under MiFID II
  3. Client consent requirements for third-party payments
  4. Documentation standards for soft dollar arrangements
  5. When third-party payments are permitted
  6. Disclosing non-monetary benefits to clients
  7. Managing gifts and entertainment for portfolio managers
  8. Handling conference sponsorships under compliance
  9. Inducements in alternative investment funds
  10. Recordkeeping for inducement assessments
  11. Reviewing broker agreements for compliance
  12. Common enforcement actions on inducements
Module 8. Compliance Monitoring and Testing Procedures
Develop testing frameworks that validate adherence and produce defensible results.
12 chapters in this module
  1. Designing test samples for transaction reporting
  2. Validating best execution policies with data
  3. Sampling trades for RTS 27 cost aggregation
  4. Testing product governance documentation
  5. Assessing client classification accuracy
  6. Reviewing trade logging timelines for compliance
  7. Monitoring for prohibited inducements
  8. Testing recordkeeping completeness
  9. Validating pre-trade disclosures
  10. Post-trade audit trail reviews
  11. Sampling frequency for compliance testing
  12. Documenting findings and remediation plans
Module 9. Regulator Engagement and Defensible Documentation
Prepare for supervisory interactions with sourced, structured narratives.
12 chapters in this module
  1. Structuring responses to regulator inquiries
  2. Using ESMA Q&As in internal guidance
  3. Referencing national regulator guidance notes
  4. Building audit trails with version control
  5. Documenting rationale for exceptions
  6. Preparing for on-site inspections
  7. Handling requests for transaction data
  8. Explaining control thresholds using regulatory precedent
  9. When to escalate to legal counsel
  10. Maintaining independence in compliance function
  11. Responding to supervisory findings
  12. Updating policies after regulator feedback
Module 10. Cross-Border Reporting and Subsidiary Coordination
Navigate multi-jurisdictional requirements when managing global portfolios.
12 chapters in this module
  1. Reporting obligations for EU vs. non-EU entities
  2. Handling client data under GDPR and MiFID II
  3. Subsidiary delegation of execution decisions
  4. Local regulator expectations in France and Germany
  5. Managing FX trades across time zones
  6. Consolidating reporting from multiple entities
  7. When MiFID II applies to non-EU clients
  8. Handling AIFMD and MiFID II overlaps
  9. Coordination with non-EU compliance teams
  10. Data sovereignty in transaction reporting
  11. Local language disclosure requirements
  12. Timezone impacts on trade logging
Module 11. Technology and Data Infrastructure for MiFID II
Ensure systems support accurate, auditable, and timely reporting.
12 chapters in this module
  1. Designing trade logging systems for Article 26
  2. Integrating ISIN and LEI lookups
  3. Building timestamp validation rules
  4. Automating RTS 27 cost aggregation
  5. Data retention policies for compliance
  6. Handling system outages in reporting
  7. Reconciliation processes for trade data
  8. Role-based access to reporting systems
  9. Audit logging for data changes
  10. Validating UTI code generation
  11. Monitoring system performance for deadlines
  12. Testing failover procedures for reporting pipelines
Module 12. Ongoing Compliance and Update Management
Stay ahead of changes with structured review processes and monitoring.
12 chapters in this module
  1. Tracking ESMA and EBA consultation papers
  2. Subscribing to regulator newsletters and alerts
  3. Reviewing internal policies quarterly
  4. Updating best execution reports annually
  5. Handling amendments to RTS standards
  6. Assessing impact of new guidance notes
  7. Conducting staff training on updates
  8. Updating client disclosure documents
  9. Coordinating with legal on new interpretations
  10. Maintaining version-controlled policy archives
  11. Scheduling internal audits
  12. Documenting change approval workflows

How this maps to your situation

  • Firm-level regulatory scrutiny
  • Internal peer challenge readiness
  • Regulator inquiry preparedness
  • Cross-functional influence through clarity

Before vs. after

Before
You apply MiFID II rules correctly but feel underprepared when asked to defend your interpretation under pressure.
After
You have the exact sources, examples, and articulation tools to justify decisions confidently in any review.

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 access.

Time investment: Approximately 90 minutes per module, designed for completion over 6-8 weeks with real-world application.

If nothing changes
Without a defensible, source-backed framework, even correct implementations can be challenged successfully, leading to deferred influence, higher scrutiny, and missed opportunities to lead.

How this compares to the alternatives

Generic MiFID II overviews explain what the rules say. This course teaches how to defend your interpretation when it matters, using the same sources regulators rely on.

Frequently asked

Is this course focused on theory or practical application?
It’s designed for practitioners. Every module includes templates, real examples, and decisions you’ll face.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Will this help me if I’m not in Europe?
Yes. Firms like the firm must comply with MiFID II for EU-facing activities, and global regulators reference its standards.
$199 one-time. Approximately 90 minutes per module, designed for completion over 6-8 weeks with real-world application..

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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