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Reference of choice on MiFID II compliance calls

$199.00
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A tailored course, built for your situation

Reference of choice on MiFID II compliance calls

Become the internal authority your team reaches for on MiFID II interpretation and 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 practitioner at a global financial institution with decision-making influence on regulatory implementation

Who this is not for

Entry-level analysts, external auditors, or professionals outside financial services regulation

What you walk away with

  • Named as first point of contact for MiFID II interpretation across legal, trading, and compliance teams
  • Produce annotated guidance memos that stand up to internal and external scrutiny
  • Anticipate regulatory focus areas based on ESMA trends and enforcement precedents
  • Resolve cross-functional disagreements using documented MiFID II applications
  • Build a personal repository of MiFID II use cases that compounds across roles

The 12 modules (with all 144 chapters)

Module 1. Core obligations under MiFID II
Break down the five pillars of MiFID II: organisational requirements, conduct of business, transparency, transaction reporting, and product governance.
12 chapters in this module
  1. Scope of MiFID II application
  2. Key differences from MiFID I
  3. Firm-wide impact mapping
  4. Designated senior managers
  5. Compliance function mandate
  6. Client categorisation rules
  7. Professional client assessments
  8. Suitability vs appropriateness
  9. Inducements policy底线
  10. Best execution obligations
  11. Transaction cost disclosures
  12. Aggregated trading data review
Module 2. Transaction reporting mechanics
Map ESMA's reporting requirements to internal trade lifecycle events and common failure points.
12 chapters in this module
  1. 76 data fields unpacked
  2. UTP vs LEI resolution
  3. Time stamp precision rules
  4. Post-trade reporting deadlines
  5. Correction protocols
  6. Double counting avoidance
  7. Cross-border reporting logic
  8. Internal surveillance triggers
  9. FATCA overlap handling
  10. Reportable instruments list
  11. Delta trades treatment
  12. Error rate benchmarks
Module 3. Best execution frameworks
Design a defensible best execution policy that meets ESMA expectations and survives regulatory challenge.
12 chapters in this module
  1. Execution venues mapping
  2. Liquidity assessment criteria
  3. Trading protocol documentation
  4. Commission comparisons
  5. Payment for order flow rules
  6. Venue performance metrics
  7. Client-specific preferences
  8. Algorithmic trading oversight
  9. Dark pool usage thresholds
  10. Slippage measurement
  11. Data sourcing standards
  12. Review frequency benchmarks
Module 4. Inducements and conflicts management
Implement a compliant inducements framework that aligns with MiFID II Article 17 and global anti-bribery norms.
12 chapters in this module
  1. Permissible vs prohibited gifts
  2. Research unbundling models
  3. Third-party payment handling
  4. Staff incentive design
  5. Gifts register maintenance
  6. Entertainment limits
  7. Conference sponsorship rules
  8. Client-funded travel policy
  9. Internal audit triggers
  10. Whistleblower reporting paths
  11. Training frequency
  12. Annual attestation process
Module 5. Product governance and oversight
Establish product approval workflows that meet MiFID II’s target market and distribution compatibility rules.
12 chapters in this module
  1. Target market definition
  2. Distribution channel alignment
  3. Suitability checks design
  4. Periodic review triggers
  5. Product performance monitoring
  6. Client feedback integration
  7. Remuneration alignment
  8. Internal challenge process
  9. Exit strategies documentation
  10. New product intake forms
  11. Risk rating consistency
  12. Overconcentration alerts
Module 6. Compliance monitoring and testing
Build a risk-based testing plan focused on high-impact MiFID II obligations.
12 chapters in this module
  1. Annual compliance plan structure
  2. Testing sample size logic
  3. Evidence collection standards
  4. Deficiency categorisation
  5. Management escalation paths
  6. Remediation tracking
  7. Reporting to senior management
  8. Cross-border coordination
  9. External auditor handover
  10. Tone from the top documentation
  11. Training completion tracking
  12. Policy exception logs
Module 7. Regulatory reporting and disclosures
Implement mandatory disclosures to clients and regulators with precision and consistency.
12 chapters in this module
  1. Client-facing cost disclosures
  2. Execution quality reporting
  3. Aggregated transaction costs
  4. Research charges breakdown
  5. Quarterly statement content
  6. Digital format compliance
  7. Language requirements
  8. Client confirmation timing
  9. Record retention periods
  10. Regulatory submission formats
  11. ESMA template alignment
  12. Internal sign-off workflow
Module 8. Internal investigation protocols
Respond to potential MiFID II breaches with structured, auditable procedures.
12 chapters in this module
  1. Initial alert triage
  2. Preservation of data
  3. Interview techniques
  4. Document collection
  5. Legal privilege considerations
  6. Cross-border access rules
  7. Staff suspension protocols
  8. Regulator notification triggers
  9. Voluntary disclosure process
  10. Findings reporting
  11. Corrective action tracking
  12. Lessons learned integration
Module 9. Staff training and competence
Deliver role-specific MiFID II training that meets conduct requirements and changes behaviour.
12 chapters in this module
  1. Training needs analysis
  2. Role-based curriculum design
  3. E-learning module topics
  4. Assessment question design
  5. Passing thresholds
  6. Refresher cycle timing
  7. Record keeping standards
  8. Competence verification
  9. Manager attestation process
  10. Onboarding integration
  11. Policy acknowledgment tracking
  12. Incident-based retraining
Module 10. Third-party oversight
Extend MiFID II compliance to vendors, agents, and delegated functions.
12 chapters in this module
  1. Vendor risk classification
  2. Due diligence depth levels
  3. Contractual clauses
  4. Ongoing monitoring
  5. Audit rights negotiation
  6. Performance benchmarking
  7. Sub-delegation rules
  8. Conflict of interest checks
  9. Geographic compliance
  10. Crisis communication
  11. Termination triggers
  12. Exit planning
Module 11. Enforcement case analysis
Learn from real-world MiFID II enforcement actions to strengthen internal defences.
12 chapters in this module
  1. FCA penalty review
  2. ESMA public statements
  3. Cross-border rulings
  4. Transaction reporting fines
  5. Best execution failures
  6. Inducements breaches
  7. Product governance lapses
  8. Client disclosure gaps
  9. Internal control breakdowns
  10. Senior manager accountability
  11. Voluntary remediation impact
  12. Reputational cost assessment
Module 12. Sustaining compliance over time
Create a self-reinforcing compliance culture that evolves with MiFID II interpretation.
12 chapters in this module
  1. Regulatory change tracking
  2. Internal newsletter content
  3. Stakeholder engagement
  4. Policy version control
  5. Feedback loop design
  6. Metrics dashboard
  7. Benchmarking against peers
  8. Lessons from audits
  9. External advisor integration
  10. Regulator dialogue
  11. Continuous improvement cycle
  12. Succession planning

How this maps to your situation

  • Onboarding new compliance staff
  • Preparing for regulator review
  • Responding to internal audit findings
  • Designing new financial products

Before vs. after

Before
Reliance on fragmented guidance and reactive responses to MiFID II queries
After
Positioned as the first internal reference for MiFID II interpretation across teams

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: 45-60 minutes per week over three months, or self-paced with full access immediately upon purchase

How this compares to the alternatives

Unlike generic compliance training, this course focuses exclusively on MiFID II application in complex financial institutions, with real-world examples and actionable frameworks used by leading firms.

Frequently asked

Is this course relevant if I work at a non-European firm?
Yes. MiFID II affects any firm dealing with EU clients or markets, and its standards influence global best practices in conduct regulation.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Does the course cover MiFIR as well?
Yes. MiFIR provisions related to reporting and transparency are integrated throughout modules on transaction reporting and disclosure.
$199 one-time. 45-60 minutes per week over three months, or self-paced with full access immediately upon purchase.

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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