Extended briefing: MiFID II – from implementation project to daily routine

Financial services 40 minute briefings

September 6, 2017

The partners of the Norton Rose Fulbright LLP financial services team invite you to their latest breakfast briefing.

Our breakfast briefings provide insight, practical knowledge and information, and act as a forum for sharing views and advice.

The briefings are likely to be of particular value to senior and middle management within financial institutions with responsibility for compliance, capital markets, investment management, legal, risk and trading.

Programme

In a couple of months’ time MiFID II moves from a regulatory change project to a way of regulatory life. It is generally agreed in the market that the overarching impact of MiFID II will be greatest for sell-side broker dealers and markets, but there are significant changes for asset managers not least in relation to transaction reporting, recording communications and inducements and payment for research. In both the sell-side and buy-side, firms have been interpreting difficult legal issues and updating their documentation to ensure that it is MiFID II compliant.

There is so much to discuss, we have extended this briefing and given attendees the option of attending one of two breakout sessions covering different topics designed for different types of firm.

When you register for this briefing, you will be asked to select which session, ‘A’ or ‘B’, you would like to attend at 9:30 to 10:15am. We have indicated the types of firms that might find each session most relevant but they are open to all.

8:30

Registration and breakfast

8:45 - 9:30

Our thinking on the FCA’s July Policy Statement

  • Conduct of business
  • Perimeter guidance

9:30 - 10:15

Session ‘A’

Sector focus - buy-side topics:

  • Transaction reporting
  • Recording communications
  • Inducements and payments for research

This session will be particularly relevant for asset and wealth managers.

Session ‘B’

Sector focus - sell-side topics

Trading in the MiFID II world:

  • Trading obligations
  • Best execution
  • Transparency
  • Other key obligations

We will look at these from the perspectives of different types of broker.

10:15 -10:30

Coffee and tea

10:30 - 11:15

Practical MiFID II documentation and compliance

  • Compliance documentation challenges
  • Customer facing documentation
  • Securing consents from clients

Accreditation

The briefings count towards SRA continuing competence. There is no charge for attending.

Webcast

The briefings will be recorded via webcast and are available after the briefing.

For further information please email: financial.services@nortonrosefulbright.com

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