Client Asset Rules | Globaltraining

Client Asset Rules


Duration
2 hours
Cost
€60
Tel
77778030
Email Address
Online

Lecturer(s)

Aim: 

To provide participants with the overview of the MIFIDII requirements for safekeeping of financial instruments and handling clients’ funds

Objective:

Analyse the MIFIDII regulatory requirements applicable to policies and procedures of MIFID-regulated firms. Program covers requirements for   handling clients’ funds and financial instruments, operational procedures to be implemented in relation to choice and banks and custodians, reconciliation process, governance and operational requirements.

Participant’s Profile:

Executive Directors, CIF’s certified personnel, Compliance officer

Registration:

To register for this seminar, please click here.

Registration can also be done through our online store.

Bundle prices available.  Contact us for further information.

  • Overview of the legal requirements of the LAW 87(I)2017 / ART 17 (8)-(11) and CYSEC Directive 87/01 PART II
  • New record-keeping requirements
  • Appointment of a single officer with overall responsibility for the safeguarding of client instruments and funds
  • Obligations of internal and external auditors
  • Rules to deposit clients’ funds and financial instruments
  • CySEC ‘s guidelines for use of payment service providers
  • Reconciliation procedures
  • Organizational requirements & fraud risk management
  • Rules for use of clients’ financial instruments
  • TTCA
  • Securities’ lending
  • Provision of information to clients