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Direct Authority on MiFID II Research Compliance Decisions

$199.00
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A tailored course, built for your situation

Direct Authority on MiFID II Research Compliance Decisions

Own every research classification and disclosure outcome without escalation

$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

Compliance practitioner in asset management with ownership over MiFID II research provisions, seeking to solidify decision-making independence

Who this is not for

Those looking for general MiFID II overviews or executive summaries without operational detail

What you walk away with

  • Make final determinations on research cost allocation under MiFID II without escalation
  • Document compliant disclosure formats accepted by EMEA regulators
  • Apply internal research classification frameworks without senior review
  • Resolve vendor-driven research handling disputes independently
  • Own end-to-end updates to research governance playbooks

The 12 modules (with all 144 chapters)

Module 1. MiFID II Research Cost Boundaries
Define what constitutes allowable research under current guidance, using ESMA case examples and internal policy alignment
12 chapters in this module
  1. What qualifies as research
  2. Cost inclusion criteria
  3. Broker-provided analysis limits
  4. Internal research exemptions
  5. Regulatory grey zones
  6. Past enforcement actions
  7. Cost allocation thresholds
  8. Client-specific carveouts
  9. Currency treatment rules
  10. Third-party validation sources
  11. Documentation standards
  12. Audit trail structure
Module 2. Research Classification Frameworks
Implement and maintain internal classification systems recognized by supervisory bodies
12 chapters in this module
  1. Tiered research taxonomy
  2. Public vs private clients
  3. In-house research tagging
  4. Vendor classification rules
  5. Dynamic reclassification triggers
  6. Approval workflow design
  7. Exception logging protocol
  8. Cross-border consistency
  9. Language considerations
  10. Timestamping requirements
  11. Storage duration rules
  12. Access control mapping
Module 3. Disclosure Template Design
Build regulator-ready disclosure formats that prevent misinterpretation and support transparency
12 chapters in this module
  1. Mandatory content fields
  2. Language clarity standards
  3. Vendor disclosure integration
  4. Client-facing summaries
  5. Electronic format compliance
  6. Translation validation
  7. Version control process
  8. Disclosure timing rules
  9. Approval signature roles
  10. Retention period alignment
  11. Audit-readiness features
  12. Feedback loop capture
Module 4. Vendor Research Handling
Govern third-party research receipt, use, and payment without relying on external compliance teams
12 chapters in this module
  1. Vendor onboarding checks
  2. Research bundling detection
  3. Payment separation logic
  4. Unbundling thresholds
  5. Contractual terms review
  6. Data ownership clauses
  7. Usage tracking systems
  8. Dispute resolution process
  9. Non-cash benefit monitoring
  10. Escalation path design
  11. Penalty avoidance tactics
  12. Renewal clause capture
Module 5. Internal Policy Updates
Revise and deploy research governance updates independently, aligned to latest regulatory expectations
12 chapters in this module
  1. Change impact analysis
  2. Stakeholder input capture
  3. Version numbering system
  4. Legal alignment checklist
  5. Implementation timing
  6. Exception documentation
  7. Training material updates
  8. Version retirement rules
  9. Cross-team rollout plan
  10. Feedback integration method
  11. Post-deployment audit
  12. Historical version access
Module 6. Decision Ownership Structure
Establish defensible authority for research-related compliance calls without escalation
12 chapters in this module
  1. Role-based decision matrix
  2. Sign-off delegation logic
  3. Escalation bypass criteria
  4. Documentation completeness
  5. Peer review triggers
  6. Audit defense preparation
  7. Regulator Q&A prep
  8. Internal challenge process
  9. Decision logging format
  10. Rationale retention rules
  11. Cross-jurisdiction alignment
  12. Succession planning
Module 7. Research Budget Governance
Manage research spending envelopes with compliance-built guardrails
12 chapters in this module
  1. Annual budget segmentation
  2. Pre-commitment tracking
  3. Spending threshold alerts
  4. Client-specific caps
  5. Carryover policy design
  6. Reallocation process
  7. Expense justification logic
  8. Audit-ready reporting
  9. Forecast update cycles
  10. Budget variance rules
  11. External review prep
  12. Stakeholder reporting
Module 8. Client Communication Protocols
Structure client-facing language around research use and cost allocation
12 chapters in this module
  1. Standard disclosure wording
  2. Client query templates
  3. Ad hoc request handling
  4. Language localization
  5. Response time standards
  6. Approval workflow
  7. Complaint handling path
  8. Service level alignment
  9. Escalation criteria
  10. Record keeping rules
  11. Feedback integration
  12. Annual review cycle
Module 9. Audit Readiness Preparation
Produce complete, regulator-accepted evidence packets on demand
12 chapters in this module
  1. Document checklist
  2. Data source mapping
  3. Version verification
  4. Timestamp validation
  5. Cross-border consistency
  6. Policy alignment
  7. Exception justification
  8. Stakeholder approval logs
  9. Training records
  10. Past audit outcomes
  11. Regulator Q&A history
  12. Corrective action status
Module 10. Cross-Border Research Handling
Apply MiFID II standards consistently across jurisdictions with local adaptations
12 chapters in this module
  1. Jurisdiction mapping
  2. Local law integration
  3. Translation requirements
  4. Time zone impacts
  5. Data residency rules
  6. Local regulator expectations
  7. Client classification rules
  8. Currency treatment
  9. Reporting format alignment
  10. Review frequency
  11. Exception logging
  12. Central oversight
Module 11. Training Material Development
Create internal training assets that sustain compliance understanding across teams
12 chapters in this module
  1. Audience segmentation
  2. Learning objective design
  3. Case study development
  4. Interactive quiz integration
  5. Version control
  6. Rollout timing
  7. Feedback collection
  8. Knowledge check design
  9. Refresher cycle
  10. Performance tracking
  11. Role-specific modules
  12. Documentation archive
Module 12. Continuous Improvement Loop
Update research governance based on internal feedback and regulatory evolution
12 chapters in this module
  1. Feedback collection method
  2. Trend analysis
  3. Root cause review
  4. Policy update triggers
  5. Stakeholder input
  6. Change impact scoring
  7. Pilot testing
  8. Full deployment
  9. Monitoring plan
  10. Audit trail update
  11. Communication strategy
  12. Success measurement

How this maps to your situation

  • Research cost disputes with vendors
  • Internal classification disagreements
  • Client disclosure requests
  • Audit preparation cycles

Before vs. after

Before
Reliance on senior review for research classification and disclosure decisions
After
Independent authority on MiFID II research compliance outcomes

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 for just-in-time learning during active projects

How this compares to the alternatives

Unlike generic compliance courses, this program delivers decision-specific authority on MiFID II research provisions, with templates and playbooks tailored to asset management operations.

Frequently asked

How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Does this cover Basel III or IFRS 17?
No, this course focuses exclusively on MiFID II research compliance decision ownership.
Is this relevant to my role at the firm?
Yes, it’s designed for practitioners owning MiFID II research governance in global asset management firms.
$199 one-time. Approximately 3 hours per module, designed for just-in-time learning during active projects.

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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