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M&A escalations and regulator-facing reviews routed to your desk first

$199.00
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A tailored course, built for your situation

M&A escalations and regulator-facing reviews routed to your desk first

A tailored course in MiFID II implementation for trusted financial services practitioners

$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 or risk practitioner in financial services with ownership over MiFID II implementation, regulatory reporting, or client conduct frameworks.

Who this is not for

Entry-level analysts, auditors without implementation authority, or practitioners outside financial services.

What you walk away with

  • Own the end-to-end MiFID II compliance workflow including transaction reporting and best execution reviews
  • Become the default reviewer for cross-jurisdictional regulatory updates under MiFID II
  • Handle M&A integration escalations involving legacy trading desk compliance
  • Produce regulator-ready review documents with embedded defensibility
  • Build repeatable templates that survive team turnover and audit cycles

The 12 modules (with all 144 chapters)

Module 1. MiFID II scope and client classification
Understand the current boundaries of MiFID II application in wealth management, including when and how product governance rules apply to legacy portfolios.
12 chapters in this module
  1. Core objectives of MiFID II
  2. Scope: when MiFID applies
  3. Client categorization framework
  4. Professional vs eligible counterparty
  5. Documentation standards
  6. Evidence retention timelines
  7. Internal challenge process
  8. Regulatory correspondence format
  9. Common classification errors
  10. FCA feedback patterns
  11. Cross-border treatment
  12. Review cycle cadence
Module 2. Best execution policies and evidence
Build defensible best execution frameworks that withstand supervisory review and support cross-jurisdictional desk integrations.
12 chapters in this module
  1. Best execution definition
  2. Venue selection criteria
  3. Trading desk data inputs
  4. Third-party execution quality
  5. Cost and charge transparency
  6. Reporting frequency
  7. Broker voting rights
  8. Client notification timing
  9. Conflict of interest framework
  10. Internal audit trail
  11. Regulatory benchmarking
  12. Update triggers
Module 3. Transaction reporting accuracy
Ensure complete and correct transaction reports are submitted under RTS 23, avoiding regulator escalations.
12 chapters in this module
  1. Reportable event types
  2. UTP and LEI sourcing
  3. Timestamp precision standards
  4. Error rate thresholds
  5. Reconciliation frequency
  6. Exception escalation path
  7. National competent authority rules
  8. Data validation steps
  9. Pre-reporting checklist
  10. FCA submission format
  11. Correction window
  12. Audit support package
Module 4. Product governance and manufacturer obligations
Implement rules for designating target markets and monitoring distribution alignment.
12 chapters in this module
  1. Target market determination
  2. Distribution channel review
  3. Geographic restrictions
  4. Client categorization map
  5. Suitability override logs
  6. Periodic review cadence
  7. Sales practice monitoring
  8. Complaint linkage
  9. Remediation triggers
  10. Internal challenge log
  11. Competent authority updates
  12. Evidence retention
Module 5. Inducements and conflicts management
Enforce robust inducement controls that align with internal compliance expectations and external scrutiny.
12 chapters in this module
  1. Permissible vs prohibited inducements
  2. Research payment framework
  3. Unbundling requirements
  4. Cost allocation method
  5. Broker selection criteria
  6. Disclosure standards
  7. Internal approval workflow
  8. Review frequency
  9. Audit trail completeness
  10. Client communication updates
  11. FCA expectations
  12. Escalation protocol
Module 6. Compliance monitoring and testing
Conduct regular assessments of MiFID II controls with audit-ready documentation.
12 chapters in this module
  1. Testing scope definition
  2. Sample selection method
  3. Control failure classification
  4. Remediation timeline
  5. Management reporting
  6. Evidence documentation
  7. Regulator-readiness check
  8. Peer benchmarking
  9. Internal audit coordination
  10. Tone from the middle
  11. Defensibility narrative
  12. Continuous improvement loop
Module 7. Regulator engagement preparation
Prepare for supervisory inquiries with structured, evidence-backed responses.
12 chapters in this module
  1. Inquiry intake process
  2. Response ownership
  3. Source citation standard
  4. Pre-approval workflow
  5. Tone and format
  6. Evidence bundling
  7. Cross-team alignment
  8. Version control
  9. Escalation triggers
  10. Follow-up readiness
  11. Lessons learned log
  12. Template reuse
Module 8. M&A integration compliance
Lead due diligence and post-merger compliance harmonization under MiFID II.
12 chapters in this module
  1. Due diligence scope
  2. Gap assessment method
  3. Legacy system review
  4. Control mapping
  5. Remediation plan
  6. Integration timeline
  7. Stakeholder alignment
  8. Risk rating update
  9. Policy harmonization
  10. Training rollout
  11. Audit trail migration
  12. Regulator notification
Module 9. Policy to implementation workflow
Turn regulatory requirements into actionable team-level procedures.
12 chapters in this module
  1. Policy drafting standard
  2. Stakeholder review
  3. Version control
  4. Approval workflow
  5. Implementation checklist
  6. Training alignment
  7. Testing integration
  8. Document lifecycle
  9. Change tracking
  10. Audit trail
  11. Feedback loop
  12. Cycle improvement
Module 10. Cross-functional credibility
Build trust with legal, trading, and risk teams through consistent, precedent-based decision-making.
12 chapters in this module
  1. Common escalation types
  2. Precedent documentation
  3. Cross-team norms
  4. Meeting participation
  5. Decision rationale
  6. Tone and influence
  7. Stakeholder mapping
  8. Conflict resolution
  9. Consensus building
  10. Visibility tactics
  11. Reputation signals
  12. Trusted advisor traits
Module 11. Defensible documentation
Create audit-ready artefacts that anticipate follow-up questions.
12 chapters in this module
  1. Evidence standards
  2. Version naming
  3. Retention rules
  4. Access control
  5. Narrative clarity
  6. Source citation
  7. Gap acknowledgment
  8. Remediation tracking
  9. Review signature
  10. Cross-reference method
  11. Regulator-readiness
  12. Reusability design
Module 12. Sustaining compliance through change
Maintain continuity during leadership transitions, team changes, or regulatory shifts.
12 chapters in this module
  1. Knowledge transfer
  2. Documented playbooks
  3. Onboarding integration
  4. Succession planning
  5. Change impact assessment
  6. Review triggers
  7. Version history
  8. Lessons learned
  9. Policy update cycle
  10. Stakeholder comms
  11. Audit trail
  12. Continuous learning

How this maps to your situation

  • When onboarding a new trading desk
  • Before regulator submission deadline
  • During M&A integration
  • After control failure identification

Before vs. after

Before
MiFID II work is reactive, distributed, and subject to rework during audits or escalations.
After
You own end-to-end execution, produce regulator-ready outputs, and receive high-visibility escalations first.

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: 60-75 hours total, designed for completion over 8-10 weeks with weekly cohort check-ins.

How this compares to the alternatives

Generic compliance courses cover broad MiFID II concepts without implementation specificity. This course delivers actionable templates, precedent-based reasoning, and direct application to the firm-level workflows.

Frequently asked

Who is this course for?
Senior compliance practitioners in financial services who own or contribute to MiFID II implementation, regulatory reporting, or conduct governance.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Is there a certificate of completion?
Yes, a digital credential is issued upon finishing all modules and submitting a final implementation plan.
$199 one-time. 60-75 hours total, designed for completion over 8-10 weeks with weekly cohort check-ins..

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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